Branch offices
0 offices
FINRA: Small firm
CRD #21930 · FINRA BrokerCheck + SEC IAPD
Wolff Investment Group Incorporated
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wolff Investment Group Incorporated ranks #1,102 of 20,055 by disclosure count (most disclosures first). Wolff Investment Group Incorporated carries 7 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 7
- disclosures
- #1,102 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 21930 Wolff Investment Group Incorporated
Wolff Investment Group Incorporated · Grade D · 7 disc · 7.00/office · Single-office firm
- CRD 21930
- GRADE D
- DISC 7
- REG 6
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,102 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Accutrade Inc. (7.00 disc/office)
Wolff Investment Group Incorporated ranks #1,102 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.00 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
7 events
On FINRA BrokerCheck
Regulatory events
6 actions
86% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 6 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 7 |
Counts for Wolff Investment Group Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 6 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 21930
Regulator-heavy mix
Wolff Investment Group Incorporated in the heavier-disclosure third
Wolff Investment Group Incorporated carries 7 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,102 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).
86% of Wolff Investment Group Incorporated's 7 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wolff Investment Group 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 Wolff Investment Group Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wolff Investment Group Incorporated ranks #1,102 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 Wolff Investment Group Incorporated?
A grade of D reflects Wolff Investment Group Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 7 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wolff Investment Group Incorporated have?
Wolff Investment Group Incorporated has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wolff Investment Group Incorporated?
Wolff Investment Group 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 Wolff Investment Group Incorporated's disciplinary record?
You can verify Wolff Investment Group Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 21930. 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). Wolff Investment Group Incorporated's 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wolff Investment Group 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. Wolff Investment Group Incorporated carries 7 disclosures across 0 branch offices (about 7.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Accutrade Inc. - 7.00 disclosures/office, nearest single-office firm peer to Wolff Investment Group Incorporated's 7.00
- Achilles Securities, LLC - 7.00 disclosures/office, nearest single-office firm peer to Wolff Investment Group Incorporated's 7.00
- Adams, Hess, Moore & Co. - 7.00 disclosures/office, nearest single-office firm peer to Wolff Investment Group Incorporated's 7.00
- Red Flags in Advisor Records - How to read Wolff Investment Group Incorporated's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 7 disclosures behind Wolff Investment Group Incorporated's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wolff Investment Group Incorporated.
- Compare firms - put Wolff Investment Group 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.