CRD #10012 · FINRA BrokerCheck + SEC IAPD

Wall Street Access

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wall Street Access ranks #160 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #30 of 868 on the same disclosure sort used on the state browse page. Wall Street Access carries 34 BrokerCheck disclosures across 9 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
9
branch offices
34
disclosures
#160 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10012 Wall Street Access

Wall Street Access · Grade C · 34 disc · 3.78/office · Small firm

  • CRD 10012
  • GRADE C
  • DISC 34
  • REG 19
  • ARB 15
  • CIV 0
  • BRANCH 9
  • PER-OFF 3.78
  • RANK #160 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Viewtrade Securities, Inc. (3.80 disc/office)

Viewtrade Securities, Inc.3.80Bulltick, LLC3.67Shufro, Rose & Co., LLC3.67Wall Street Access (this)3.78
Disclosures per office among small firm peers (lower is cleaner)

Wall Street Access ranks #160 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.78 disclosures per office. Verify on FINRA BrokerCheck →

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.

Data updated July 2026

Branch offices

9 offices

FINRA: Small firm

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

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%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). This entry sits in this band. 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 19
Arbitrations 15
Civil Events 0
Total 34

Counts for Wall Street Access reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 19 Arbitration 15 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
10012

Elevated disclosures per office

Wall Street Access in the heavier-disclosure third

Wall Street Access carries 34 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#160 of 20,055). Mix is 19 regulatory, 15 arbitration, and 0 civil (56% regulator share).

Wall Street Access runs 3.78 disclosures per branch office (cleaner than only 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wall Street Access's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 3.89× state average

Wall Street Access sits above the New York disclosure average

Wall Street Access reports 34 BrokerCheck disclosures, 3.89× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Wall Street Access sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wall Street Access ranks #160 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #30 of 868 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 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 (regulatory, arbitration, or civil). Wall Street Access's 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
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.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Wall Street Access, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.