CRD #431 · FINRA BrokerCheck + SEC IAPD

Wachovia Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachovia Securities, Inc. ranks #93 of 20,055 by disclosure count (most disclosures first). Wachovia Securities, Inc. carries 52 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
52
disclosures
#93 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 431 Wachovia Securities, Inc.

Wachovia Securities, Inc. · Grade F · 52 disc · 52.00/office · Single-office firm

  • CRD 431
  • GRADE F
  • DISC 52
  • REG 31
  • ARB 18
  • CIV 3
  • BRANCH 0
  • PER-OFF n/a
  • RANK #93 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Windsor Street Capital, LP (52.00 disc/office)

Windsor Street Capital, LP52.00BB&T Securities, LLC51.00First Montauk Securitie…53.00Wachovia Securities… (this)52.00
Disclosures per office among single-office firm peers (lower is cleaner)

Wachovia Securities, Inc. ranks #93 of 20,055 by disclosure count among graded broker-dealers; heavy load at 52.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

52 events

On FINRA BrokerCheck

Regulatory events

31 actions

60% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 31
Arbitrations 18
Civil Events 3
Total 52

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

Disclosure category share

Regulatory 31 Arbitration 18 Civil 3

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
431

Heavy disclosure book

Wachovia Securities, Inc. in the heavier-disclosure third

Wachovia Securities, Inc. carries 52 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#93 of 20,055). Regulator-initiated events are 60% of the book (31 regulatory / 18 arbitration / 3 civil).

Wachovia Securities, Inc. ranks #93 of 20,055 by BrokerCheck disclosure count among graded firms (52 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wachovia Securities, 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 Wachovia Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachovia Securities, Inc. ranks #93 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 F mean for Wachovia Securities, Inc.?
A grade of F reflects Wachovia Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 52 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wachovia Securities, Inc. have?
Wachovia Securities, Inc. has 52 total FINRA disclosures, including 31 regulatory events, 18 arbitrations, 3 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wachovia Securities, Inc.?
Wachovia Securities, 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 Wachovia Securities, Inc.'s disciplinary record?
You can verify Wachovia Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 431. 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 Securities, Inc.'s 52 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wachovia Securities, 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. Wachovia Securities, Inc. carries 52 disclosures across 0 branch offices (about 52.00 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.