CRD #32977 · FINRA BrokerCheck + SEC IAPD

Walter N. Frank & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Walter N. Frank & Co., LLC ranks #4,999 of 20,055 by disclosure count (most disclosures first). Walter N. Frank & Co., LLC carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.

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Grade B
Safety grade
0
branch offices
1
disclosure
#4,999 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 32977 Walter N. Frank & Co., LLC

Walter N. Frank & Co., LLC · Grade B · 1 disc · 1.00/office · Single-office firm

  • CRD 32977
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #4,999 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)

1ST BCCW Capital Corp1.0021 Capital Group, Inc.1.003 Bridges Securities1.00Walter N. Frank & C… (this)1.00
Disclosures per office among single-office firm peers (lower is cleaner)

Walter N. Frank & Co., LLC ranks #4,999 of 20,055 by disclosure count among graded broker-dealers; heavy 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

0 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Walter N. Frank & Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
07/01/1997
State of Formation
New York
CRD Number
32977
SEC Number
16693

Regulator-heavy mix

Walter N. Frank & Co., LLC in the heavier-disclosure third

Walter N. Frank & Co., LLC carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#4,999 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Walter N. Frank & Co., LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Walter N. Frank & Co., LLC'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 Walter N. Frank & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Walter N. Frank & Co., LLC ranks #4,999 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 B mean for Walter N. Frank & Co., LLC?
A grade of B reflects Walter N. Frank & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Walter N. Frank & Co., LLC have?
Walter N. Frank & Co., LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Walter N. Frank & Co., LLC?
Walter N. Frank & Co., LLC 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 Walter N. Frank & Co., LLC's disciplinary record?
You can verify Walter N. Frank & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 32977. 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 Walter N. Frank & Co., LLC 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. Walter N. Frank & Co., LLC carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Walter N. Frank & Co., LLC's 1.00
  • 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Walter N. Frank & Co., LLC's 1.00
  • 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Walter N. Frank & Co., LLC's 1.00
  • Red Flags in Advisor Records - How to read Walter N. Frank & Co., LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 1 disclosure behind Walter N. Frank & Co., LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Walter N. Frank & Co., LLC.
  • Compare firms - put Walter N. Frank & Co., LLC 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.