CRD #126292 · FINRA BrokerCheck + SEC IAPD

Wells Fargo Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Securities, LLC ranks #32 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #1 of 55 on the same disclosure sort used on the state browse page. Wells Fargo Securities, LLC carries 162 BrokerCheck disclosures across 84 branch offices - elevated load for a mid-sized firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
84
branch offices
162
disclosures
#32 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 126292 Wells Fargo Securities, LLC

Wells Fargo Securities, LLC · Grade D · 162 disc · 1.93/office · Mid-sized firm

  • CRD 126292
  • GRADE D
  • DISC 162
  • REG 161
  • ARB 0
  • CIV 1
  • BRANCH 84
  • PER-OFF 1.93
  • RANK #32 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: BMO Capital Markets Corp. (1.88 disc/office)

BMO Capital Markets Corp.1.88Robinhood Financial, LLC2.24Pruco Securities, LLC.1.54Wells Fargo Securit… (this)1.93
Disclosures per office among mid-sized firm peers (lower is cleaner)

Wells Fargo Securities, LLC ranks #32 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.93 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

Branch offices

84 offices

FINRA: Large firm

Total disclosures

162 events

On FINRA BrokerCheck

Regulatory events

161 actions

99% of all disclosures

Disclosures per office

1.93 per office

162 ÷ 84 offices

Wells Fargo Securities, LLC vs. every disclosing firm

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

2 a cleaner per-office record than 15% 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%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). This entry sits in this band. 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 161
Arbitrations 0
Civil Events 1
Total 162

Counts for Wells Fargo Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 161 Arbitration 0 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Charlotte, NC
CRD Number
126292

Regulator-heavy mix

Wells Fargo Securities, LLC in the heavier-disclosure third

Wells Fargo Securities, LLC carries 162 BrokerCheck disclosures across 84 branch offices - a heavier-third raw book among graded firms (#32 of 20,055). Regulator-initiated events are 99% of the book (161 regulatory / 0 arbitration / 1 civil).

99% of Wells Fargo Securities, LLC's 162 disclosures are regulator-initiated (161 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

North Carolina cohort · 38× state average

Wells Fargo Securities, LLC sits above the North Carolina disclosure average

Wells Fargo Securities, LLC reports 162 BrokerCheck disclosures, 38× the North Carolina average of 4.3 across 55 graded firms with a principal-office state on file.

In North Carolina, 31 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 North Carolina state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Wells Fargo Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Securities, LLC ranks #32 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #1 of 55 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 D mean for Wells Fargo Securities, LLC?
A grade of D reflects Wells Fargo Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 162 total disclosures across 84 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wells Fargo Securities, LLC have?
Wells Fargo Securities, LLC has 162 total FINRA disclosures, including 161 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wells Fargo Securities, LLC?
Wells Fargo Securities, LLC operates 84 branch offices and is classified by FINRA as a large firm, registered in NC (Mid-sized 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, LLC's disciplinary record?
You can verify Wells Fargo Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 126292. 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, LLC's 162 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wells Fargo Securities, 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 Securities, LLC carries 162 disclosures across 84 branch offices (about 1.93 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Wells Fargo Securities, LLC, both outside NC so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • BMO Capital Markets Corp. (NY) - 1.88 disclosures/office, nearest mid-sized firm peer to Wells Fargo Securities, LLC's 1.93
  • Robinhood Financial, LLC (FL) - 2.24 disclosures/office, nearest mid-sized firm peer to Wells Fargo Securities, LLC's 1.93
  • Pruco Securities, LLC. (NJ) - 1.54 disclosures/office, nearest mid-sized firm peer to Wells Fargo Securities, LLC's 1.93
  • Firms in NC - state roster that includes Wells Fargo Securities, LLC's registration home.
  • Red Flags in Advisor Records - How to read Wells Fargo Securities, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 162 disclosures behind Wells Fargo Securities, LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wells Fargo Securities, LLC.
  • Compare firms - put Wells Fargo Securities, 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.