CRD #113930 · FINRA BrokerCheck + SEC IAPD

Harris Williams

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Harris Williams ranks #4,050 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #13 of 43 on the same disclosure sort used on the state browse page. Harris Williams carries 1 BrokerCheck disclosure across 13 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
13
branch offices
1
disclosure
#4,050 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 113930 Harris Williams

Harris Williams · Grade B · 1 disc · 0.08/office · Regional firm

  • CRD 113930
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.08
  • RANK #4,050 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Caldwell Sutter Capital, Inc. (0.08 disc/office)

Caldwell Sutter Capital…0.08MFS Fund Distributors, …0.08Moelis & Company LLC0.08Harris Williams (this)0.08
Disclosures per office among regional firm peers (lower is cleaner)

Harris Williams ranks #4,050 of 20,055 by disclosure count among graded broker-dealers; light load at 0.08 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Medium firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.08 per office

1 ÷ 13 offices

Harris Williams vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 89% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Harris Williams reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Richmond, VA, 23219
Formed
01/01/2006
State of Formation
Virginia
CRD Number
113930
SEC Number
53380

Regulator-heavy mix

Harris Williams in the heavier-disclosure third

Harris Williams carries 1 BrokerCheck disclosure across 13 branch offices - a heavier-third raw book among graded firms (#4,050 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Harris Williams's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Harris Williams's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Virginia cohort · 0.52× state average

Harris Williams tracks near the Virginia disclosure average

Harris Williams reports 1 BrokerCheck disclosure, about 0.52× the Virginia average of 1.9 across 43 graded firms.

In Virginia, 26 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Virginia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Harris Williams sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Harris Williams ranks #4,050 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #13 of 43 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Harris Williams?
A grade of B reflects Harris Williams's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 1 total disclosure across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Harris Williams have?
Harris Williams has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Harris Williams?
Harris Williams operates 13 branch offices and is classified by FINRA as a medium firm, registered in VA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Harris Williams's disciplinary record?
You can verify Harris Williams's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 113930. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Harris Williams because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Harris Williams carries 1 disclosure across 13 branch offices (about 0.08 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Harris Williams, both outside VA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.