Branch offices
0 offices
FINRA: Small firm
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
FINRA BrokerCheck disclosure docket
CRD record 116757 TD Waterhouse Capital Markets, Inc.
TD Waterhouse Capital Markets, Inc. · Grade C · 5 disc · 5.00/office · Single-office firm
- CRD 116757
- GRADE C
- DISC 5
- REG 5
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,550 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1717 Capital Management Company (5.00 disc/office)
TD Waterhouse Capital Markets, Inc. ranks #1,550 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.00 disclosures per office. Verify on FINRA BrokerCheck →
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 for TD Waterhouse Capital Markets, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 5 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 116757
Regulator-heavy mix
TD Waterhouse Capital Markets, Inc. in the heavier-disclosure third
TD Waterhouse Capital Markets, Inc. carries 5 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,550 of 20,055). Regulator-initiated events are 100% of the book (5 regulatory / 0 arbitration / 0 civil).
100% of TD Waterhouse Capital Markets, Inc.'s 5 disclosures are regulator-initiated (5 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of TD Waterhouse Capital Markets, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
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 (regulatory, arbitration, or civil). TD Waterhouse Capital Markets, Inc.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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 - 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.