Branch offices
9 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #10012 · FINRA BrokerCheck + SEC IAPD
Wall Street Access
Wall Street Access carries 34 BrokerCheck disclosures across 9 branch offices - heavy load for a small firm, earning a Grade C.
- Grade C
- Safety grade
- 9
- branch offices
- 34
- disclosures
- 3.78
- per office
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.
Total disclosures
34 events
On FINRA BrokerCheck
Regulatory events
19 actions
56% of all disclosures
Disclosures per office
3.78 per office
34 ÷ 9 offices
Wall Street Access vs. every disclosing firm
Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)
4 a cleaner per-office record than 2% of 1,251 disclosing firms
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 | 19 |
| Arbitrations | 15 |
| Civil Events | 0 |
| Total | 34 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 19 Arbitration 15 Civil 0
Disclosure Profile
Wall Street Access's disclosure record, broken down by category and footprint.
Disclosures per office
3.78
Heavy load
Regulatory share
56%
of total disclosures
Size class
Small firm
9 branches
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY
- CRD Number
- 10012
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Wall Street Access
Wall Street Access (broker-dealer, CRD# 10012 · New York, NY) operates 9 branch offices - a small firm (FINRA: small), scope ACTIVE.
BrokerCheck shows 34 disclosures as of July 2026 (about 3.78 per branch office): 19 regulatory, 15 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of C mean for Wall Street Access?
A grade of C reflects Wall Street Access's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 34 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wall Street Access have?
Wall Street Access has 34 total FINRA disclosures, including 19 regulatory events, 15 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wall Street Access?
Wall Street Access operates 9 branch offices and is classified by FINRA as a small firm, registered in NY (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 Wall Street Access's disciplinary record?
You can verify Wall Street Access's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10012. 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 Wall Street Access 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. Wall Street Access carries 34 disclosures across 9 branch offices (about 3.78 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
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Read our methodology - how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.