Branch offices
0 offices
FINRA: Small firm
CRD #10582 · FINRA BrokerCheck + SEC IAPD
Wells Fargo Investments, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Investments, LLC ranks #47 of 20,055 by disclosure count (most disclosures first). Wells Fargo Investments, LLC carries 86 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 86
- disclosures
- #47 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 10582 Wells Fargo Investments, LLC
Wells Fargo Investments, LLC · Grade F · 86 disc · 86.00/office · Single-office firm
- CRD 10582
- GRADE F
- DISC 86
- REG 53
- ARB 33
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #47 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Securities America, Inc. (85.00 disc/office)
Wells Fargo Investments, LLC ranks #47 of 20,055 by disclosure count among graded broker-dealers; heavy load at 86.00 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
86 events
On FINRA BrokerCheck
Regulatory events
53 actions
62% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 53 |
| Arbitrations | 33 |
| Civil Events | 0 |
| Total | 86 |
Counts for Wells Fargo Investments, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 53 Arbitration 33 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 10582
Heavy disclosure book
Wells Fargo Investments, LLC in the heavier-disclosure third
Wells Fargo Investments, LLC carries 86 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#47 of 20,055). Regulator-initiated events are 62% of the book (53 regulatory / 33 arbitration / 0 civil).
Wells Fargo Investments, LLC ranks #47 of 20,055 by BrokerCheck disclosure count among graded firms (86 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wells Fargo Investments, 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 Wells Fargo Investments, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Investments, LLC ranks #47 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 Investments, LLC?
A grade of F reflects Wells Fargo Investments, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 86 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wells Fargo Investments, LLC have?
Wells Fargo Investments, LLC has 86 total FINRA disclosures, including 53 regulatory events, 33 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wells Fargo Investments, LLC?
Wells Fargo Investments, 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 Wells Fargo Investments, LLC's disciplinary record?
You can verify Wells Fargo Investments, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10582. 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 Investments, LLC's 86 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wells Fargo Investments, 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. Wells Fargo Investments, LLC carries 86 disclosures across 0 branch offices (about 86.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Securities America, Inc. - 85.00 disclosures/office, nearest single-office firm peer to Wells Fargo Investments, LLC's 86.00
- Scottrade, Inc. - 84.00 disclosures/office, nearest single-office firm peer to Wells Fargo Investments, LLC's 86.00
- National Securities Corporation - 82.00 disclosures/office, nearest single-office firm peer to Wells Fargo Investments, LLC's 86.00
- Red Flags in Advisor Records - How to read Wells Fargo Investments, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 86 disclosures behind Wells Fargo Investments, LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wells Fargo Investments, LLC.
- Compare firms - put Wells Fargo Investments, 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.