Branch offices
0 offices
FINRA: Small firm
CRD #47317 · FINRA BrokerCheck + SEC IAPD
Windsor Capital Advisors, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Windsor Capital Advisors, LLC ranks #3,319 of 20,055 by disclosure count (most disclosures first). Windsor Capital Advisors, LLC carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 2
- disclosures
- #3,319 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 47317 Windsor Capital Advisors, LLC
Windsor Capital Advisors, LLC · Grade B · 2 disc · 2.00/office · Single-office firm
- CRD 47317
- GRADE B
- DISC 2
- REG 1
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,319 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)
Windsor Capital Advisors, LLC ranks #3,319 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 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
Total disclosures
2 events
On FINRA BrokerCheck
Regulatory events
1 action
50% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 2 |
Counts for Windsor Capital Advisors, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 47317
Heavy disclosure book
Windsor Capital Advisors, LLC in the heavier-disclosure third
Windsor Capital Advisors, LLC carries 2 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#3,319 of 20,055). Mix is 1 regulatory, 1 arbitration, and 0 civil (50% regulator share).
Windsor Capital Advisors, LLC ranks #3,319 of 20,055 by BrokerCheck disclosure count among graded firms (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Windsor Capital Advisors, LLC'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 Windsor Capital Advisors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Windsor Capital Advisors, LLC ranks #3,319 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 Windsor Capital Advisors, LLC?
A grade of B reflects Windsor Capital Advisors, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Windsor Capital Advisors, LLC have?
Windsor Capital Advisors, LLC has 2 total FINRA disclosures, including 1 regulatory event, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Windsor Capital Advisors, LLC?
Windsor Capital Advisors, 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 Windsor Capital Advisors, LLC's disciplinary record?
You can verify Windsor Capital Advisors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 47317. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Windsor Capital Advisors, LLC 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. Windsor Capital Advisors, LLC carries 2 disclosures across 0 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abramenko & Company, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Windsor Capital Advisors, LLC's 2.00
- Abshier Webb Donnelly & Baker, Inc. - 2.00 disclosures/office, nearest single-office firm peer to Windsor Capital Advisors, LLC's 2.00
- ABW Trading, LLC - 2.00 disclosures/office, nearest single-office firm peer to Windsor Capital Advisors, LLC's 2.00
- Red Flags in Advisor Records - How to read Windsor Capital Advisors, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 2 disclosures behind Windsor Capital Advisors, LLC's Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Windsor Capital Advisors, LLC.
- Compare firms - put Windsor Capital Advisors, LLC 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.