CRD #7665 · FINRA BrokerCheck + SEC IAPD

Wells Fargo Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wells Fargo Securities, LLC ranks #432 of 20,055 by disclosure count (most disclosures first). Wells Fargo Securities, LLC carries 16 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
16
disclosures
#432 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7665 Wells Fargo Securities, LLC

Wells Fargo Securities, LLC · Grade D · 16 disc · 16.00/office · Single-office firm

  • CRD 7665
  • GRADE D
  • DISC 16
  • REG 12
  • ARB 4
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #432 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Bishop, Rosen & Co., Inc. (16.00 disc/office)

Bishop, Rosen & Co., Inc.16.00Brookstone Securities, …16.00Brookville Capital Part…16.00Wells Fargo Securit… (this)16.00
Disclosures per office among single-office firm peers (lower is cleaner)

Wells Fargo Securities, LLC ranks #432 of 20,055 by disclosure count among graded broker-dealers; heavy load at 16.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

12 actions

75% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 4
Civil Events 0
Total 16

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 12 Arbitration 4 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
7665

Regulator-heavy mix

Wells Fargo Securities, LLC in the heavier-disclosure third

Wells Fargo Securities, LLC carries 16 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#432 of 20,055). Regulator-initiated events are 75% of the book (12 regulatory / 4 arbitration / 0 civil).

75% of Wells Fargo Securities, LLC's 16 disclosures are regulator-initiated (12 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.

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 #432 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, 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 (single-office firm). It carries 16 total disclosures across 0 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 16 total FINRA disclosures, including 12 regulatory events, 4 arbitrations. 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 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, 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 7665. 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 16 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 16 disclosures across 0 branch offices (about 16.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.