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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.