CRD #19396 · FINRA BrokerCheck + SEC IAPD

Wilmington Trust Investment Management

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wilmington Trust Investment Management ranks #5,039 of 20,055 by disclosure count (most disclosures first). Wilmington Trust Investment Management carries 1 BrokerCheck disclosure across 1 branch office - elevated load for a single-office firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1
branch office
1
disclosure
#5,039 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 19396 Wilmington Trust Investment Management

Wilmington Trust Investment Management · Grade B · 1 disc · 1.00/office · Single-office firm

  • CRD 19396
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 1.00
  • RANK #5,039 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)

1ST BCCW Capital Corp1.0021 Capital Group, Inc.1.003 Bridges Securities1.00Wilmington Trust In… (this)1.00
Disclosures per office among single-office firm peers (lower is cleaner)

Wilmington Trust Investment Management ranks #5,039 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

1 office

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

1.00 per office

1 ÷ 1 offices

Wilmington Trust Investment Management vs. every disclosing firm

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

1 a cleaner per-office record than 24% 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%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 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 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Wilmington Trust Investment Management reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
19396

Regulator-heavy mix

Wilmington Trust Investment Management in the heavier-disclosure third

Wilmington Trust Investment Management carries 1 BrokerCheck disclosure across 1 branch office - a heavier-third raw book among graded firms (#5,039 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Wilmington Trust Investment Management's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wilmington Trust Investment Management'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 Wilmington Trust Investment Management sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wilmington Trust Investment Management ranks #5,039 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 B mean for Wilmington Trust Investment Management?
A grade of B reflects Wilmington Trust Investment Management's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wilmington Trust Investment Management have?
Wilmington Trust Investment Management has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wilmington Trust Investment Management?
Wilmington Trust Investment Management operates 1 branch office 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 Wilmington Trust Investment Management's disciplinary record?
You can verify Wilmington Trust Investment Management's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19396. 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 BrokerCheck. For Wilmington Trust Investment Management, the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Wilmington Trust Investment Management 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. Wilmington Trust Investment Management carries 1 disclosure across 1 branch office (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Wilmington Trust Investment Management's 1.00
  • 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Wilmington Trust Investment Management's 1.00
  • 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Wilmington Trust Investment Management's 1.00
  • Red Flags in Advisor Records - How to read Wilmington Trust Investment Management's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 1 disclosure behind Wilmington Trust Investment Management's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wilmington Trust Investment Management.
  • Compare firms - put Wilmington Trust Investment Management 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.