Branch offices
0 offices
FINRA: Small firm
CRD #17438 · FINRA BrokerCheck + SEC IAPD
Wells Fargo Securities Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Securities Inc. ranks #459 of 20,055 by disclosure count (most disclosures first). Wells Fargo Securities Inc. carries 15 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 15
- disclosures
- #459 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 17438 Wells Fargo Securities Inc.
Wells Fargo Securities Inc. · Grade D · 15 disc · 15.00/office · Single-office firm
- CRD 17438
- GRADE D
- DISC 15
- REG 4
- ARB 11
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #459 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: A.B. Watley, Inc. (15.00 disc/office)
Wells Fargo Securities Inc. ranks #459 of 20,055 by disclosure count among graded broker-dealers; heavy load at 15.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
15 events
On FINRA BrokerCheck
Regulatory events
4 actions
27% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 4 |
| Arbitrations | 11 |
| Civil Events | 0 |
| Total | 15 |
Counts for Wells Fargo Securities Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 4 Arbitration 11 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 17438
Heavy disclosure book
Wells Fargo Securities Inc. in the heavier-disclosure third
Wells Fargo Securities Inc. carries 15 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#459 of 20,055). Mix is 4 regulatory, 11 arbitration, and 0 civil (27% regulator share).
Wells Fargo Securities Inc. ranks #459 of 20,055 by BrokerCheck disclosure count among graded firms (15 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wells Fargo Securities Inc.'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 Securities Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Securities Inc. ranks #459 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 D mean for Wells Fargo Securities Inc.?
A grade of D reflects Wells Fargo Securities Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 15 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wells Fargo Securities Inc. have?
Wells Fargo Securities Inc. has 15 total FINRA disclosures, including 4 regulatory events, 11 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wells Fargo Securities Inc.?
Wells Fargo Securities Inc. 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 Securities Inc.'s disciplinary record?
You can verify Wells Fargo Securities Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17438. 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 Securities Inc.'s 15 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wells Fargo Securities Inc. 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 Securities Inc. carries 15 disclosures across 0 branch offices (about 15.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A.B. Watley, Inc. - 15.00 disclosures/office, nearest single-office firm peer to Wells Fargo Securities Inc.'s 15.00
- ALL-Tech Direct, Inc. - 15.00 disclosures/office, nearest single-office firm peer to Wells Fargo Securities Inc.'s 15.00
- Banc ONE Securities Corporation - 15.00 disclosures/office, nearest single-office firm peer to Wells Fargo Securities Inc.'s 15.00
- Red Flags in Advisor Records - How to read Wells Fargo Securities Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 15 disclosures behind Wells Fargo Securities Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wells Fargo Securities Inc..
- Compare firms - put Wells Fargo Securities Inc. 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.