CRD #375 · FINRA BrokerCheck + SEC IAPD

H.C.WAINWRIGHT & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, H.C.WAINWRIGHT & Co., LLC ranks #412 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #54 of 868 on the same disclosure sort used on the state browse page. H.C.WAINWRIGHT & Co., LLC carries 16 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
2
branch offices
16
disclosures
#412 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 375 H.C.WAINWRIGHT & Co., LLC

H.C.WAINWRIGHT & Co., LLC · Grade D · 16 disc · 8.00/office · Small firm

  • CRD 375
  • GRADE D
  • DISC 16
  • REG 16
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 8.00
  • RANK #412 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Dawson James Securities, Inc. (8.00 disc/office)

Dawson James Securities…8.00Sagetrader, LLC8.00SAL Equity Trading, GP8.00H.C.WAINWRIGHT & Co… (this)8.00
Disclosures per office among small firm peers (lower is cleaner)

H.C.WAINWRIGHT & Co., LLC ranks #412 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

2 offices

FINRA: Small firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

16 actions

100% of all disclosures

Disclosures per office

8.00 per office

16 ÷ 2 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

H.C.WAINWRIGHT & Co., LLC - disclosures per branch office 100.0%
Typical multi-office firm

Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 16
Arbitrations 0
Civil Events 0
Total 16

Counts for H.C.WAINWRIGHT & Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 16 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10022
Formed
04/10/2013
State of Formation
Delaware
CRD Number
375
SEC Number
43115

Regulator-heavy mix

H.C.WAINWRIGHT & Co., LLC in the heavier-disclosure third

H.C.WAINWRIGHT & Co., LLC carries 16 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#412 of 20,055). Regulator-initiated events are 100% of the book (16 regulatory / 0 arbitration / 0 civil).

100% of H.C.WAINWRIGHT & Co., LLC's 16 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of H.C.WAINWRIGHT & Co., LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.83× state average

H.C.WAINWRIGHT & Co., LLC sits above the New York disclosure average

H.C.WAINWRIGHT & Co., LLC reports 16 BrokerCheck disclosures, 1.83× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does H.C.WAINWRIGHT & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, H.C.WAINWRIGHT & Co., LLC ranks #412 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #54 of 868 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 D mean for H.C.WAINWRIGHT & Co., LLC?
A grade of D reflects H.C.WAINWRIGHT & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 16 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does H.C.WAINWRIGHT & Co., LLC have?
H.C.WAINWRIGHT & Co., LLC has 16 total FINRA disclosures, including 16 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is H.C.WAINWRIGHT & Co., LLC?
H.C.WAINWRIGHT & Co., LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (Small 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 H.C.WAINWRIGHT & Co., LLC's disciplinary record?
You can verify H.C.WAINWRIGHT & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 375. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). H.C.WAINWRIGHT & Co., LLC's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid H.C.WAINWRIGHT & Co., LLC 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. H.C.WAINWRIGHT & Co., LLC carries 16 disclosures across 2 branch offices (about 8.00 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 H.C.WAINWRIGHT & Co., LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Dawson James Securities, Inc. (FL) - 8.00 disclosures/office, nearest small firm peer to H.C.WAINWRIGHT & Co., LLC's 8.00
  • Sagetrader, LLC (NJ) - 8.00 disclosures/office, nearest small firm peer to H.C.WAINWRIGHT & Co., LLC's 8.00
  • SAL Equity Trading, GP (PA) - 8.00 disclosures/office, nearest small firm peer to H.C.WAINWRIGHT & Co., LLC's 8.00
  • Firms in NY - state roster that includes H.C.WAINWRIGHT & Co., LLC's registration home.
  • Red Flags in Advisor Records - How to read H.C.WAINWRIGHT & Co., LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 16 disclosures behind H.C.WAINWRIGHT & Co., LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as H.C.WAINWRIGHT & Co., LLC.
  • Compare firms - put H.C.WAINWRIGHT & Co., LLC next to peers on grade and footprint.

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.