CRD #14377 · FINRA BrokerCheck + SEC IAPD

Nelson Securities,Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nelson Securities,Inc. ranks #4,442 of 20,055 by disclosure count (most disclosures first). Among firms registered in WA, it ranks #11 of 29 on the same disclosure sort used on the state browse page. Nelson Securities,Inc. carries 1 BrokerCheck disclosure across 6 branch offices - light load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
6
branch offices
1
disclosure
#4,442 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14377 Nelson Securities,Inc.

Nelson Securities,Inc. · Grade B · 1 disc · 0.17/office · Small firm

  • CRD 14377
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 6
  • PER-OFF 0.17
  • RANK #4,442 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Baker Tilly Capital, LLC (0.17 disc/office)

Baker Tilly Capital, LLC0.17FSB Premier Wealth Mana…0.17Greenhill & Co., LLC0.17Nelson Securities,Inc. (this)0.17
Disclosures per office among small firm peers (lower is cleaner)

Nelson Securities,Inc. ranks #4,442 of 20,055 by disclosure count among graded broker-dealers; light load at 0.17 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

6 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.17 per office

1 ÷ 6 offices

Nelson Securities,Inc. 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 79% 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 Nelson Securities,Inc. 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
Small
Scope
ACTIVE
Location
Spokane, WA, 99218
Formed
10/03/1983
State of Formation
Washington
CRD Number
14377
SEC Number
30576

Regulator-heavy mix

Nelson Securities,Inc. in the heavier-disclosure third

Nelson Securities,Inc. carries 1 BrokerCheck disclosure across 6 branch offices - a heavier-third raw book among graded firms (#4,442 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Nelson Securities,Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Washington cohort · 0.76× state average

Nelson Securities,Inc. tracks near the Washington disclosure average

Nelson Securities,Inc. reports 1 BrokerCheck disclosure, about 0.76× the Washington average of 1.3 across 29 graded firms.

In Washington, 17 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 Washington state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Nelson Securities,Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Nelson Securities,Inc. ranks #4,442 of 20,055 by disclosure count (most disclosures first). Among firms registered in WA, it ranks #11 of 29 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 Nelson Securities,Inc.?
A grade of B reflects Nelson Securities,Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Nelson Securities,Inc. have?
Nelson Securities,Inc. 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 Nelson Securities,Inc.?
Nelson Securities,Inc. operates 6 branch offices and is classified by FINRA as a small firm, registered in WA (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 Nelson Securities,Inc.'s disciplinary record?
You can verify Nelson Securities,Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14377. 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 Nelson Securities,Inc. 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. Nelson Securities,Inc. carries 1 disclosure across 6 branch offices (about 0.17 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 Nelson Securities,Inc., both outside WA 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.