Branch offices
0 offices
FINRA: Small firm
CRD #16100 · FINRA BrokerCheck + SEC IAPD
Wells Fargo Brokerage Services, L.L.C.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Brokerage Services, L.L.C. ranks #337 of 20,055 by disclosure count (most disclosures first). Wells Fargo Brokerage Services, L.L.C. carries 19 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 19
- disclosures
- #337 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 16100 Wells Fargo Brokerage Services, L.L.C.
Wells Fargo Brokerage Services, L.L.C. · Grade F · 19 disc · 19.00/office · Single-office firm
- CRD 16100
- GRADE F
- DISC 19
- REG 11
- ARB 8
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #337 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Acap Financial Inc. (19.00 disc/office)
Wells Fargo Brokerage Services, L.L.C. ranks #337 of 20,055 by disclosure count among graded broker-dealers; heavy load at 19.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
19 events
On FINRA BrokerCheck
Regulatory events
11 actions
58% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 8 |
| Civil Events | 0 |
| Total | 19 |
Counts for Wells Fargo Brokerage Services, L.L.C. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 8 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 16100
Heavy disclosure book
Wells Fargo Brokerage Services, L.L.C. in the heavier-disclosure third
Wells Fargo Brokerage Services, L.L.C. carries 19 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#337 of 20,055). Mix is 11 regulatory, 8 arbitration, and 0 civil (58% regulator share).
Wells Fargo Brokerage Services, L.L.C. ranks #337 of 20,055 by BrokerCheck disclosure count among graded firms (19 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wells Fargo Brokerage Services, L.L.C.'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 Wells Fargo Brokerage Services, L.L.C. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Brokerage Services, L.L.C. ranks #337 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 F mean for Wells Fargo Brokerage Services, L.L.C.?
A grade of F reflects Wells Fargo Brokerage Services, L.L.C.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 19 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wells Fargo Brokerage Services, L.L.C. have?
Wells Fargo Brokerage Services, L.L.C. has 19 total FINRA disclosures, including 11 regulatory events, 8 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wells Fargo Brokerage Services, L.L.C.?
Wells Fargo Brokerage Services, L.L.C. 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 Wells Fargo Brokerage Services, L.L.C.'s disciplinary record?
You can verify Wells Fargo Brokerage Services, L.L.C.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16100. 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). Wells Fargo Brokerage Services, L.L.C.'s 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wells Fargo Brokerage Services, L.L.C. 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. Wells Fargo Brokerage Services, L.L.C. carries 19 disclosures across 0 branch offices (about 19.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Acap Financial Inc. - 19.00 disclosures/office, nearest single-office firm peer to Wells Fargo Brokerage Services, L.L.C.'s 19.00
- APS Financial Corporation - 19.00 disclosures/office, nearest single-office firm peer to Wells Fargo Brokerage Services, L.L.C.'s 19.00
- Baird, Patrick & Co., Inc. - 19.00 disclosures/office, nearest single-office firm peer to Wells Fargo Brokerage Services, L.L.C.'s 19.00
- Red Flags in Advisor Records - How to read Wells Fargo Brokerage Services, L.L.C.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 19 disclosures behind Wells Fargo Brokerage Services, L.L.C.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wells Fargo Brokerage Services, L.L.C..
- Compare firms - put Wells Fargo Brokerage Services, L.L.C. 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.