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.