Branch offices
0 offices
FINRA: Small firm
CRD #144097 · FINRA BrokerCheck + SEC IAPD
WES Investments, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WES Investments, LLC ranks #19,590 of 20,055 by disclosure count (most disclosures first). WES Investments, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #19,590 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 144097 WES Investments, LLC
WES Investments, LLC · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 144097
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #19,590 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
WES Investments, LLC ranks #19,590 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
- per office
footprint not reported
Clean disclosure surface
WES Investments, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 02/26/2007
- State of Formation
- Massachusetts
- CRD Number
- 144097
- SEC Number
- 67634
Clean BrokerCheck surface
WES Investments, LLC's clean BrokerCheck surface
WES Investments, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).
WES Investments, LLC shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of WES Investments, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does WES Investments, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WES Investments, LLC ranks #19,590 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 A mean for WES Investments, LLC?
A grade of A means WES Investments, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does WES Investments, LLC have?
WES Investments, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is WES Investments, LLC?
WES 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 WES Investments, LLC's disciplinary record?
You can verify WES Investments, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 144097. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. WES Investments, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to WES Investments, LLC's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to WES Investments, LLC's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to WES Investments, LLC's 0.00
- How to Vet a Financial Advisor - Use WES Investments, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like WES Investments, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside WES Investments, LLC.
- Compare firms - put WES Investments, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.