CRD #14979 · FINRA BrokerCheck + SEC IAPD

William Scott & Co. L.L.C.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, William Scott & Co. L.L.C. ranks #1,101 of 20,055 by disclosure count (most disclosures first). William Scott & Co. L.L.C. carries 7 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
7
disclosures
#1,101 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14979 William Scott & Co. L.L.C.

William Scott & Co. L.L.C. · Grade D · 7 disc · 7.00/office · Single-office firm

  • CRD 14979
  • GRADE D
  • DISC 7
  • REG 4
  • ARB 3
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #1,101 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Accutrade Inc. (7.00 disc/office)

Accutrade Inc.7.00Achilles Securities, LLC7.00Adams, Hess, Moore & Co.7.00William Scott & Co.… (this)7.00
Disclosures per office among single-office firm peers (lower is cleaner)

William Scott & Co. L.L.C. ranks #1,101 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.00 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

7 events

On FINRA BrokerCheck

Regulatory events

4 actions

57% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 3
Civil Events 0
Total 7

Counts for William Scott & Co. L.L.C. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 3 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
02/02/1995
State of Formation
New Jersey
CRD Number
14979
SEC Number
32265

Heavy disclosure book

William Scott & Co. L.L.C. in the heavier-disclosure third

William Scott & Co. L.L.C. carries 7 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,101 of 20,055). Mix is 4 regulatory, 3 arbitration, and 0 civil (57% regulator share).

William Scott & Co. L.L.C. ranks #1,101 of 20,055 by BrokerCheck disclosure count among graded firms (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of William Scott & Co. L.L.C.'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 William Scott & Co. L.L.C. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, William Scott & Co. L.L.C. ranks #1,101 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 William Scott & Co. L.L.C.?
A grade of D reflects William Scott & Co. L.L.C.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 7 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does William Scott & Co. L.L.C. have?
William Scott & Co. L.L.C. has 7 total FINRA disclosures, including 4 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is William Scott & Co. L.L.C.?
William Scott & Co. L.L.C. 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 William Scott & Co. L.L.C.'s disciplinary record?
You can verify William Scott & Co. L.L.C.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14979. 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). William Scott & Co. L.L.C.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid William Scott & Co. L.L.C. 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. William Scott & Co. L.L.C. carries 7 disclosures across 0 branch offices (about 7.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Accutrade Inc. - 7.00 disclosures/office, nearest single-office firm peer to William Scott & Co. L.L.C.'s 7.00
  • Achilles Securities, LLC - 7.00 disclosures/office, nearest single-office firm peer to William Scott & Co. L.L.C.'s 7.00
  • Adams, Hess, Moore & Co. - 7.00 disclosures/office, nearest single-office firm peer to William Scott & Co. L.L.C.'s 7.00
  • Red Flags in Advisor Records - How to read William Scott & Co. L.L.C.'s heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 7 disclosures behind William Scott & Co. L.L.C.'s Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as William Scott & Co. L.L.C..
  • Compare firms - put William Scott & Co. L.L.C. 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.