CRD #3685 · FINRA BrokerCheck + SEC IAPD

Wachtel & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachtel & Co., Inc. ranks #3,294 of 20,055 by disclosure count (most disclosures first). Among firms registered in DC, it ranks #3 of 17 on the same disclosure sort used on the state browse page. Wachtel & Co., Inc. carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
2
disclosures
#3,294 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3685 Wachtel & Co., Inc.

Wachtel & Co., Inc. · Grade B · 2 disc · 1.00/office · Small firm

  • CRD 3685
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.00
  • RANK #3,294 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Wachtel & Co., Inc. (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Wachtel & Co., Inc. ranks #3,294 of 20,055 by disclosure count among graded broker-dealers; elevated 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

2 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

1.00 per office

2 ÷ 2 offices

Wachtel & Co., Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

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

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

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Washington, DC, 20006
Formed
12/17/1962
State of Formation
District of Columbia
CRD Number
3685
SEC Number
11345

Regulator-heavy mix

Wachtel & Co., Inc. in the heavier-disclosure third

Wachtel & Co., Inc. carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#3,294 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of Wachtel & Co., Inc.'s 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wachtel & Co., Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

District of Columbia cohort · 3.09× state average

Wachtel & Co., Inc. sits above the District of Columbia disclosure average

Wachtel & Co., Inc. reports 2 BrokerCheck disclosures, 3.09× the District of Columbia average of 0.6 across 17 graded firms with a principal-office state on file.

In District of Columbia, 12 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the District of Columbia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Wachtel & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wachtel & Co., Inc. ranks #3,294 of 20,055 by disclosure count (most disclosures first). Among firms registered in DC, it ranks #3 of 17 on the same disclosure sort used on the state browse page. 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 Wachtel & Co., Inc.?
A grade of B reflects Wachtel & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wachtel & Co., Inc. have?
Wachtel & Co., Inc. has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wachtel & Co., Inc.?
Wachtel & Co., Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in DC (Small 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 Wachtel & Co., Inc.'s disciplinary record?
You can verify Wachtel & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3685. 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 BrokerCheck. For Wachtel & Co., Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Wachtel & Co., 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. Wachtel & Co., Inc. carries 2 disclosures across 2 branch offices (about 1.00 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.