CRD #8300 · FINRA BrokerCheck + SEC IAPD

Spencer-Winston Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Spencer-Winston Securities Corporation ranks #1,074 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #108 of 868 on the same disclosure sort used on the state browse page. Spencer-Winston Securities Corporation carries 7 BrokerCheck disclosures across 5 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
5
branch offices
7
disclosures
#1,074 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8300 Spencer-Winston Securities Corporation

Spencer-Winston Securities Corporation · Grade B · 7 disc · 1.40/office · Small firm

  • CRD 8300
  • GRADE B
  • DISC 7
  • REG 2
  • ARB 5
  • CIV 0
  • BRANCH 5
  • PER-OFF 1.40
  • RANK #1,074 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Amerivet Securities, Inc. (1.40 disc/office)

Amerivet Securities, Inc.1.40Coker & Palmer1.40Elevation, LLC1.40Spencer-Winston Sec… (this)1.40
Disclosures per office among small firm peers (lower is cleaner)

Spencer-Winston Securities Corporation ranks #1,074 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.40 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

5 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

2 actions

29% of all disclosures

Disclosures per office

1.40 per office

7 ÷ 5 offices

Spencer-Winston Securities Corporation vs. every disclosing firm

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

1 a cleaner per-office record than 21% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). This entry sits in this band. 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 2
Arbitrations 5
Civil Events 0
Total 7

Counts for Spencer-Winston Securities Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 5 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
8300

Elevated disclosures per office

Spencer-Winston Securities Corporation in the heavier-disclosure third

Spencer-Winston Securities Corporation carries 7 BrokerCheck disclosures across 5 branch offices - a heavier-third raw book among graded firms (#1,074 of 20,055). Mix is 2 regulatory, 5 arbitration, and 0 civil (29% regulator share).

Spencer-Winston Securities Corporation runs 1.40 disclosures per branch office (cleaner than only 79% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.80× state average

Spencer-Winston Securities Corporation tracks near the New York disclosure average

Spencer-Winston Securities Corporation reports 7 BrokerCheck disclosures, about 0.80× the New York average of 8.7 across 868 graded firms.

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 Spencer-Winston Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Spencer-Winston Securities Corporation ranks #1,074 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #108 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 B mean for Spencer-Winston Securities Corporation?
A grade of B reflects Spencer-Winston Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Spencer-Winston Securities Corporation have?
Spencer-Winston Securities Corporation has 7 total FINRA disclosures, including 2 regulatory events, 5 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Spencer-Winston Securities Corporation?
Spencer-Winston Securities Corporation operates 5 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 Spencer-Winston Securities Corporation's disciplinary record?
You can verify Spencer-Winston Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8300. 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). Spencer-Winston Securities Corporation's 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Spencer-Winston Securities Corporation 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. Spencer-Winston Securities Corporation carries 7 disclosures across 5 branch offices (about 1.40 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 Spencer-Winston Securities Corporation, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Amerivet Securities, Inc. (NY) - 1.40 disclosures/office, nearest small firm peer to Spencer-Winston Securities Corporation's 1.40
  • Coker & Palmer (MS) - 1.40 disclosures/office, nearest small firm peer to Spencer-Winston Securities Corporation's 1.40
  • Elevation, LLC (NC) - 1.40 disclosures/office, nearest small firm peer to Spencer-Winston Securities Corporation's 1.40
  • Firms in NY - state roster that includes Spencer-Winston Securities Corporation's registration home.
  • Red Flags in Advisor Records - How to read Spencer-Winston Securities Corporation's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 7 disclosures behind Spencer-Winston Securities Corporation's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Spencer-Winston Securities Corporation.
  • Compare firms - put Spencer-Winston Securities Corporation 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.