CRD #17503 · FINRA BrokerCheck + SEC IAPD

Wachovia Brokerage Service

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachovia Brokerage Service ranks #808 of 20,055 by disclosure count (most disclosures first). Wachovia Brokerage Service carries 9 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
9
disclosures
#808 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17503 Wachovia Brokerage Service

Wachovia Brokerage Service · Grade D · 9 disc · 9.00/office · Single-office firm

  • CRD 17503
  • GRADE D
  • DISC 9
  • REG 7
  • ARB 2
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #808 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Allen Douglas Securities, Inc. (9.00 disc/office)

Allen Douglas Securitie…9.00American Portfolios Fin…9.00Amerifinancial9.00Wachovia Brokerage … (this)9.00
Disclosures per office among single-office firm peers (lower is cleaner)

Wachovia Brokerage Service ranks #808 of 20,055 by disclosure count among graded broker-dealers; heavy load at 9.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

9 events

On FINRA BrokerCheck

Regulatory events

7 actions

78% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 2
Civil Events 0
Total 9

Counts for Wachovia Brokerage Service reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
17503

Regulator-heavy mix

Wachovia Brokerage Service in the heavier-disclosure third

Wachovia Brokerage Service carries 9 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#808 of 20,055). Regulator-initiated events are 78% of the book (7 regulatory / 2 arbitration / 0 civil).

78% of Wachovia Brokerage Service's 9 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wachovia Brokerage Service'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 Wachovia Brokerage Service sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachovia Brokerage Service ranks #808 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 D mean for Wachovia Brokerage Service?
A grade of D reflects Wachovia Brokerage Service's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 9 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wachovia Brokerage Service have?
Wachovia Brokerage Service has 9 total FINRA disclosures, including 7 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wachovia Brokerage Service?
Wachovia Brokerage Service 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 Wachovia Brokerage Service's disciplinary record?
You can verify Wachovia Brokerage Service's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17503. 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). Wachovia Brokerage Service's 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wachovia Brokerage Service 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. Wachovia Brokerage Service carries 9 disclosures across 0 branch offices (about 9.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.