CRD #1895 · FINRA BrokerCheck + SEC IAPD

WM. V. Frankel & Co., Incorporated

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WM. V. Frankel & Co., Incorporated ranks #366 of 20,055 by disclosure count (most disclosures first). WM. V. Frankel & Co., Incorporated carries 18 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
18
disclosures
#366 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1895 WM. V. Frankel & Co., Incorporated

WM. V. Frankel & Co., Incorporated · Grade F · 18 disc · 18.00/office · Single-office firm

  • CRD 1895
  • GRADE F
  • DISC 18
  • REG 18
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #366 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: ABN Amro Securities LLC (18.00 disc/office)

ABN Amro Securities LLC18.00Aletheia Securities, Inc.,18.00BNP Paribas Prime Broke…18.00WM. V. Frankel & Co… (this)18.00
Disclosures per office among single-office firm peers (lower is cleaner)

WM. V. Frankel & Co., Incorporated ranks #366 of 20,055 by disclosure count among graded broker-dealers; heavy load at 18.00 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

0 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

18 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 18
Arbitrations 0
Civil Events 0
Total 18

Counts for WM. V. Frankel & Co., Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 18 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
1895

Regulator-heavy mix

WM. V. Frankel & Co., Incorporated in the heavier-disclosure third

WM. V. Frankel & Co., Incorporated carries 18 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#366 of 20,055). Regulator-initiated events are 100% of the book (18 regulatory / 0 arbitration / 0 civil).

100% of WM. V. Frankel & Co., Incorporated's 18 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of WM. V. Frankel & Co., Incorporated'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 WM. V. Frankel & Co., Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WM. V. Frankel & Co., Incorporated ranks #366 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 F mean for WM. V. Frankel & Co., Incorporated?
A grade of F reflects WM. V. Frankel & Co., Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 18 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does WM. V. Frankel & Co., Incorporated have?
WM. V. Frankel & Co., Incorporated has 18 total FINRA disclosures, including 18 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is WM. V. Frankel & Co., Incorporated?
WM. V. Frankel & Co., Incorporated 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 WM. V. Frankel & Co., Incorporated's disciplinary record?
You can verify WM. V. Frankel & Co., Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1895. 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). WM. V. Frankel & Co., Incorporated's 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid WM. V. Frankel & Co., Incorporated 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. WM. V. Frankel & Co., Incorporated carries 18 disclosures across 0 branch offices (about 18.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • ABN Amro Securities LLC - 18.00 disclosures/office, nearest single-office firm peer to WM. V. Frankel & Co., Incorporated's 18.00
  • Aletheia Securities, Inc., - 18.00 disclosures/office, nearest single-office firm peer to WM. V. Frankel & Co., Incorporated's 18.00
  • BNP Paribas Prime Brokerage, Inc. - 18.00 disclosures/office, nearest single-office firm peer to WM. V. Frankel & Co., Incorporated's 18.00
  • Red Flags in Advisor Records - How to read WM. V. Frankel & Co., Incorporated's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 18 disclosures behind WM. V. Frankel & Co., Incorporated's Grade F.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as WM. V. Frankel & Co., Incorporated.
  • Compare firms - put WM. V. Frankel & Co., Incorporated 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.