CRD #40964 · FINRA BrokerCheck + SEC IAPD

W. P. Stewart Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W. P. Stewart Securities LLC ranks #4,995 of 20,055 by disclosure count (most disclosures first). W. P. Stewart Securities LLC carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.

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Grade B
Safety grade
0
branch offices
1
disclosure
#4,995 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40964 W. P. Stewart Securities LLC

W. P. Stewart Securities LLC · Grade B · 1 disc · 1.00/office · Single-office firm

  • CRD 40964
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #4,995 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)

1ST BCCW Capital Corp1.0021 Capital Group, Inc.1.003 Bridges Securities1.00W. P. Stewart Secur… (this)1.00
Disclosures per office among single-office firm peers (lower is cleaner)

W. P. Stewart Securities LLC ranks #4,995 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 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

0 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for W. P. Stewart Securities LLC 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
INACTIVE
Formed
05/28/2010
State of Formation
Delaware
CRD Number
40964
SEC Number
49274

Regulator-heavy mix

W. P. Stewart Securities LLC in the heavier-disclosure third

W. P. Stewart Securities LLC carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#4,995 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of W. P. Stewart Securities LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of W. P. Stewart Securities LLC'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 W. P. Stewart Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W. P. Stewart Securities LLC ranks #4,995 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 B mean for W. P. Stewart Securities LLC?
A grade of B reflects W. P. Stewart Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W. P. Stewart Securities LLC have?
W. P. Stewart Securities LLC 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 W. P. Stewart Securities LLC?
W. P. Stewart Securities LLC 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 W. P. Stewart Securities LLC's disciplinary record?
You can verify W. P. Stewart Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40964. 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 W. P. Stewart Securities LLC 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. W. P. Stewart Securities LLC carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to W. P. Stewart Securities LLC's 1.00
  • 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to W. P. Stewart Securities LLC's 1.00
  • 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to W. P. Stewart Securities LLC's 1.00
  • Red Flags in Advisor Records - How to read W. P. Stewart Securities LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 1 disclosure behind W. P. Stewart Securities LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as W. P. Stewart Securities LLC.
  • Compare firms - put W. P. Stewart Securities LLC 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.