CRD #40054 · FINRA BrokerCheck + SEC IAPD

Waveland Capital Partners LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Waveland Capital Partners LLC ranks #3,302 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #53 of 279 on the same disclosure sort used on the state browse page. Waveland Capital Partners LLC carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
2
disclosures
#3,302 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40054 Waveland Capital Partners LLC

Waveland Capital Partners LLC · Grade B · 2 disc · 1.00/office · Small firm

  • CRD 40054
  • GRADE B
  • DISC 2
  • REG 0
  • ARB 2
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.00
  • RANK #3,302 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Waveland Capital Pa… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Waveland Capital Partners LLC ranks #3,302 of 20,055 by disclosure count among graded broker-dealers; elevated 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

2 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

0 actions

0% of all disclosures

Disclosures per office

1.00 per office

2 ÷ 2 offices

Waveland Capital Partners LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% 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%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 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 0
Arbitrations 2
Civil Events 0
Total 2

Counts for Waveland Capital Partners LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 0 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Irvine, CA
CRD Number
40054

Customer-facing mix

Waveland Capital Partners LLC in the heavier-disclosure third

Waveland Capital Partners LLC carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#3,302 of 20,055). Customer-facing events dominate: 2 arbitration and 0 civil versus 0 regulatory (0% regulator share).

Only 0% of Waveland Capital Partners LLC's disclosures are regulator-initiated; arbitrations (2) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Waveland Capital Partners LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

California cohort · 0.98× state average

Waveland Capital Partners LLC tracks near the California disclosure average

Waveland Capital Partners LLC reports 2 BrokerCheck disclosures, about 0.98× the California average of 2.1 across 279 graded firms.

In California, 189 firms carry Grade A and 0 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 California state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Waveland Capital Partners LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Waveland Capital Partners LLC ranks #3,302 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #53 of 279 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 B mean for Waveland Capital Partners LLC?
A grade of B reflects Waveland Capital Partners LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Waveland Capital Partners LLC have?
Waveland Capital Partners LLC has 2 total FINRA disclosures, including 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Waveland Capital Partners LLC?
Waveland Capital Partners LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in CA (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 Waveland Capital Partners LLC's disciplinary record?
You can verify Waveland Capital Partners LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40054. 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 BrokerCheck. For Waveland Capital Partners LLC, the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Waveland Capital Partners 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. Waveland Capital Partners LLC carries 2 disclosures across 2 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to Waveland Capital Partners LLC's 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to Waveland Capital Partners LLC's 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to Waveland Capital Partners LLC's 1.00
  • Firms in CA - state roster that includes Waveland Capital Partners LLC's registration home.
  • Red Flags in Advisor Records - How to read Waveland Capital Partners LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 2 disclosures behind Waveland Capital Partners LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Waveland Capital Partners LLC.
  • Compare firms - put Waveland Capital Partners 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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD 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. Data current as of July 2026.