CRD #3777 · FINRA BrokerCheck + SEC IAPD

Wilson-Davis & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wilson-Davis & Co., Inc. ranks #78 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #1 of 29 on the same disclosure sort used on the state browse page. Wilson-Davis & Co., Inc. carries 58 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
2
branch offices
58
disclosures
#78 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3777 Wilson-Davis & Co., Inc.

Wilson-Davis & Co., Inc. · Grade F · 58 disc · 29.00/office · Small firm

  • CRD 3777
  • GRADE F
  • DISC 58
  • REG 57
  • ARB 1
  • CIV 0
  • BRANCH 2
  • PER-OFF 29.00
  • RANK #78 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ABN Amro Clearing USA LLC (27.67 disc/office)

ABN Amro Clearing USA LLC27.67Cibc World Markets Corp.27.00Deutsche Bank Securitie…34.11Wilson-Davis & Co.,… (this)29.00
Disclosures per office among small firm peers (lower is cleaner)

Wilson-Davis & Co., Inc. ranks #78 of 20,055 by disclosure count among graded broker-dealers; heavy load at 29.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

2 offices

FINRA: Small firm

Total disclosures

58 events

On FINRA BrokerCheck

Regulatory events

57 actions

98% of all disclosures

Disclosures per office

29.00 per office

58 ÷ 2 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

Wilson-Davis & Co., Inc. - disclosures per branch office 100.0%
Typical multi-office firm

Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 57
Arbitrations 1
Civil Events 0
Total 58

Counts for Wilson-Davis & Co., Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 57 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Salt Lake City, UT
CRD Number
3777

Regulator-heavy mix

Wilson-Davis & Co., Inc. in the heavier-disclosure third

Wilson-Davis & Co., Inc. carries 58 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#78 of 20,055). Regulator-initiated events are 98% of the book (57 regulatory / 1 arbitration / 0 civil).

98% of Wilson-Davis & Co., Inc.'s 58 disclosures are regulator-initiated (57 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wilson-Davis & Co., Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Utah cohort · 23× state average

Wilson-Davis & Co., Inc. sits above the Utah disclosure average

Wilson-Davis & Co., Inc. reports 58 BrokerCheck disclosures, 23× the Utah average of 2.5 across 29 graded firms with a principal-office state on file.

In Utah, 20 firms carry Grade A and 1 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 Utah state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Wilson-Davis & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wilson-Davis & Co., Inc. ranks #78 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #1 of 29 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 F mean for Wilson-Davis & Co., Inc.?
A grade of F reflects Wilson-Davis & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 58 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wilson-Davis & Co., Inc. have?
Wilson-Davis & Co., Inc. has 58 total FINRA disclosures, including 57 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wilson-Davis & Co., Inc.?
Wilson-Davis & Co., Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in UT (Small 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 Wilson-Davis & Co., Inc.'s disciplinary record?
You can verify Wilson-Davis & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3777. 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). Wilson-Davis & Co., Inc.'s 58 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wilson-Davis & Co., Inc. 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. Wilson-Davis & Co., Inc. carries 58 disclosures across 2 branch offices (about 29.00 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 Wilson-Davis & Co., Inc., both outside UT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.