Branch offices
0 offices
FINRA: Small firm
CRD #43896 · FINRA BrokerCheck + SEC IAPD
Wallstreet*E Financial Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wallstreet*E Financial Services, Inc. ranks #809 of 20,055 by disclosure count (most disclosures first). Wallstreet*E Financial Services, Inc. carries 9 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 9
- disclosures
- #809 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 43896 Wallstreet*E Financial Services, Inc.
Wallstreet*E Financial Services, Inc. · Grade D · 9 disc · 9.00/office · Single-office firm
- CRD 43896
- GRADE D
- DISC 9
- REG 8
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #809 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Allen Douglas Securities, Inc. (9.00 disc/office)
Wallstreet*E Financial Services, Inc. ranks #809 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
Total disclosures
9 events
On FINRA BrokerCheck
Regulatory events
8 actions
89% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 8 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 9 |
Counts for Wallstreet*E Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 8 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 43896
Regulator-heavy mix
Wallstreet*E Financial Services, Inc. in the heavier-disclosure third
Wallstreet*E Financial Services, Inc. carries 9 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#809 of 20,055). Regulator-initiated events are 89% of the book (8 regulatory / 1 arbitration / 0 civil).
89% of Wallstreet*E Financial Services, Inc.'s 9 disclosures are regulator-initiated (8 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wallstreet*E Financial Services, 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 Wallstreet*E Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wallstreet*E Financial Services, Inc. ranks #809 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 Wallstreet*E Financial Services, Inc.?
A grade of D reflects Wallstreet*E Financial Services, Inc.'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 Wallstreet*E Financial Services, Inc. have?
Wallstreet*E Financial Services, Inc. has 9 total FINRA disclosures, including 8 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wallstreet*E Financial Services, Inc.?
Wallstreet*E Financial Services, 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 Wallstreet*E Financial Services, Inc.'s disciplinary record?
You can verify Wallstreet*E Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 43896. 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). Wallstreet*E Financial Services, Inc.'s 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wallstreet*E Financial Services, 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. Wallstreet*E Financial Services, Inc. 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
- Allen Douglas Securities, Inc. - 9.00 disclosures/office, nearest single-office firm peer to Wallstreet*E Financial Services, Inc.'s 9.00
- American Portfolios Financial Services, Inc. - 9.00 disclosures/office, nearest single-office firm peer to Wallstreet*E Financial Services, Inc.'s 9.00
- Amerifinancial - 9.00 disclosures/office, nearest single-office firm peer to Wallstreet*E Financial Services, Inc.'s 9.00
- Red Flags in Advisor Records - How to read Wallstreet*E Financial Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 9 disclosures behind Wallstreet*E Financial Services, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wallstreet*E Financial Services, Inc..
- Compare firms - put Wallstreet*E Financial Services, Inc. next to peers on grade and footprint.
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.