Branch offices
2 offices
FINRA: Small firm
CRD #327258 · FINRA BrokerCheck + SEC IAPD
KWM Securities LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, KWM Securities LLC ranks #13,044 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #138 of 189 on the same disclosure sort used on the state browse page. KWM Securities LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #13,044 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 327258 KWM Securities LLC
KWM Securities LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 327258
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #13,044 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
KWM Securities LLC ranks #13,044 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
KWM Securities LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Austin, TX, 78746
- Formed
- 04/28/2023
- State of Formation
- New Jersey
- CRD Number
- 327258
- SEC Number
- 71123
Clean BrokerCheck surface
KWM Securities LLC's clean BrokerCheck surface
KWM Securities LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
KWM Securities LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of KWM Securities LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Texas cohort · 0.00× state average
KWM Securities LLC sits below the Texas disclosure average
KWM Securities LLC reports 0 BrokerCheck disclosures, 0.00× the Texas average of 4.0, lighter than most of the 189 graded firms filed there.
In Texas, 110 firms carry Grade A and 1 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 Texas state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does KWM Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, KWM Securities LLC ranks #13,044 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #138 of 189 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 A mean for KWM Securities LLC?
A grade of A means KWM Securities LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does KWM Securities LLC have?
KWM Securities LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is KWM Securities LLC?
KWM Securities LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in TX (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 KWM Securities LLC's disciplinary record?
You can verify KWM Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 327258. 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 BrokerCheck record. KWM Securities LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to KWM Securities LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to KWM Securities LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to KWM Securities LLC's 0.00
- Firms in TX - state roster that includes KWM Securities LLC's registration home.
- How to Vet a Financial Advisor - Use KWM Securities LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like KWM Securities LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside KWM Securities LLC.
- Compare firms - put KWM Securities LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.