Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #116757 · FINRA BrokerCheck + SEC IAPD
TD Waterhouse Capital Markets, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Waterhouse Capital Markets, Inc. ranks #1,550 of 20,055 by disclosure count (most disclosures first). TD Waterhouse Capital Markets, Inc. carries 5 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 5
- disclosures
- #1,550 of 20,055
- disclosure rank · graded
PlainAdvisorCheck rating 3/5 - 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
5 events
On FINRA BrokerCheck
Regulatory events
5 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 5 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 5 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 5 Arbitration 0 Civil 0
Disclosure Profile
TD Waterhouse Capital Markets, Inc.'s disclosure record, broken down by category and footprint.
Disclosures per office
-
Heavy load
Regulatory share
100%
of total disclosures
Size class
Single-office firm
0 branches
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 116757
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About TD Waterhouse Capital Markets, Inc.
TD Waterhouse Capital Markets, Inc. (broker-dealer, CRD# 116757) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 5 disclosures as of July 2026: 5 regulatory, 0 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does TD Waterhouse Capital Markets, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, TD Waterhouse Capital Markets, Inc. ranks #1,550 of 20,055 by disclosure count (most disclosures first). 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 C mean for TD Waterhouse Capital Markets, Inc.?
A grade of C reflects TD Waterhouse Capital Markets, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 5 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does TD Waterhouse Capital Markets, Inc. have?
TD Waterhouse Capital Markets, Inc. has 5 total FINRA disclosures, including 5 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is TD Waterhouse Capital Markets, Inc.?
TD Waterhouse Capital Markets, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 TD Waterhouse Capital Markets, Inc.'s disciplinary record?
You can verify TD Waterhouse Capital Markets, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 116757. 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 TD Waterhouse Capital Markets, 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. TD Waterhouse Capital Markets, Inc. carries 5 disclosures across 0 branch offices (about 5.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1717 Capital Management Company - 5.00 disclosures/office, nearest single-office firm peer to TD Waterhouse Capital Markets, Inc.'s 5.00
- 1ST Bridgehouse Securities, LLC - 5.00 disclosures/office, nearest single-office firm peer to TD Waterhouse Capital Markets, Inc.'s 5.00
- Ajax Investments, LLC - 5.00 disclosures/office, nearest single-office firm peer to TD Waterhouse Capital Markets, Inc.'s 5.00
- Red Flags in Advisor Records - How to read TD Waterhouse Capital Markets, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 5 disclosures behind TD Waterhouse Capital Markets, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as TD Waterhouse Capital Markets, Inc..
- Compare firms - put TD Waterhouse Capital Markets, Inc. next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.