Branch offices
0 offices
FINRA: Small firm
CRD #16465 · FINRA BrokerCheck + SEC IAPD
W.J. Nolan & Company, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.J. Nolan & Company, Inc. ranks #653 of 20,055 by disclosure count (most disclosures first). W.J. Nolan & Company, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 11
- disclosures
- #653 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 16465 W.J. Nolan & Company, Inc.
W.J. Nolan & Company, Inc. · Grade D · 11 disc · 11.00/office · Single-office firm
- CRD 16465
- GRADE D
- DISC 11
- REG 8
- ARB 2
- CIV 1
- BRANCH 0
- PER-OFF n/a
- RANK #653 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Asiel & Co. LLC (11.00 disc/office)
W.J. Nolan & Company, Inc. ranks #653 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 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
Total disclosures
11 events
On FINRA BrokerCheck
Regulatory events
8 actions
73% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 8 |
| Arbitrations | 2 |
| Civil Events | 1 |
| Total | 11 |
Counts for W.J. Nolan & Company, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 8 Arbitration 2 Civil 1
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 12/27/1984
- State of Formation
- New York
- CRD Number
- 16465
- SEC Number
- 33890
Heavy disclosure book
W.J. Nolan & Company, Inc. in the heavier-disclosure third
W.J. Nolan & Company, Inc. carries 11 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#653 of 20,055). Regulator-initiated events are 73% of the book (8 regulatory / 2 arbitration / 1 civil).
W.J. Nolan & Company, Inc. ranks #653 of 20,055 by BrokerCheck disclosure count among graded firms (11 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of W.J. Nolan & Company, Inc.'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 W.J. Nolan & Company, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.J. Nolan & Company, Inc. ranks #653 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 W.J. Nolan & Company, Inc.?
A grade of D reflects W.J. Nolan & Company, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 11 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W.J. Nolan & Company, Inc. have?
W.J. Nolan & Company, Inc. has 11 total FINRA disclosures, including 8 regulatory events, 2 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is W.J. Nolan & Company, Inc.?
W.J. Nolan & Company, Inc. 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 W.J. Nolan & Company, Inc.'s disciplinary record?
You can verify W.J. Nolan & Company, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16465. 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). W.J. Nolan & Company, Inc.'s 11 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid W.J. Nolan & Company, 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. W.J. Nolan & Company, Inc. carries 11 disclosures across 0 branch offices (about 11.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Asiel & Co. LLC - 11.00 disclosures/office, nearest single-office firm peer to W.J. Nolan & Company, Inc.'s 11.00
- Auerbach, Pollak & Richardson Inc. - 11.00 disclosures/office, nearest single-office firm peer to W.J. Nolan & Company, Inc.'s 11.00
- Bayou Securities, LLC - 11.00 disclosures/office, nearest single-office firm peer to W.J. Nolan & Company, Inc.'s 11.00
- Red Flags in Advisor Records - How to read W.J. Nolan & Company, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 11 disclosures behind W.J. Nolan & Company, Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as W.J. Nolan & Company, Inc..
- Compare firms - put W.J. Nolan & Company, Inc. 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.