Branch offices
2 offices
FINRA: Small firm
CRD #147300 · FINRA BrokerCheck + SEC IAPD
Waterview Securities, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Waterview Securities, Inc. ranks #19,483 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #186 of 189 on the same disclosure sort used on the state browse page. Waterview Securities, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #19,483 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 147300 Waterview Securities, Inc.
Waterview Securities, Inc. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 147300
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #19,483 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Waterview Securities, Inc. ranks #19,483 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Waterview Securities, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Dallas, TX
- CRD Number
- 147300
Clean BrokerCheck surface
Waterview Securities, Inc.'s clean BrokerCheck surface
Waterview Securities, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Waterview Securities, Inc. shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Waterview Securities, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Texas cohort · 0.00× state average
Waterview Securities, Inc. sits below the Texas disclosure average
Waterview Securities, Inc. reports 0 BrokerCheck disclosures, 0.00× the Texas average of 4.0, lighter than most of the 189 graded firms filed there.
In Texas, 110 firms carry Grade A and 1 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 Texas state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Waterview Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Waterview Securities, Inc. ranks #19,483 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #186 of 189 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 A mean for Waterview Securities, Inc.?
A grade of A means Waterview Securities, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Waterview Securities, Inc. have?
Waterview Securities, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Waterview Securities, Inc.?
Waterview Securities, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in TX (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 Waterview Securities, Inc.'s disciplinary record?
You can verify Waterview Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 147300. 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 BrokerCheck record. Waterview Securities, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Waterview Securities, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Waterview Securities, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Waterview Securities, Inc.'s 0.00
- Firms in TX - state roster that includes Waterview Securities, Inc.'s registration home.
- How to Vet a Financial Advisor - Use Waterview Securities, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Waterview Securities, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Waterview Securities, Inc..
- Compare firms - put Waterview Securities, Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.