CRD #45040 · FINRA BrokerCheck + SEC IAPD

W.R. Hambrecht + Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.R. Hambrecht + Co., LLC ranks #546 of 20,055 by disclosure count (most disclosures first). W.R. Hambrecht + Co., LLC carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
0
branch offices
13
disclosures
#546 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 45040 W.R. Hambrecht + Co., LLC

W.R. Hambrecht + Co., LLC · Grade D · 13 disc · 13.00/office · Single-office firm

  • CRD 45040
  • GRADE D
  • DISC 13
  • REG 10
  • ARB 0
  • CIV 3
  • BRANCH 0
  • PER-OFF n/a
  • RANK #546 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Advanced Equities, Inc. (13.00 disc/office)

Advanced Equities, Inc.13.00Barrett Securities Inc.13.00Burlington Capital Mark…13.00W.R. Hambrecht + Co… (this)13.00
Disclosures per office among single-office firm peers (lower is cleaner)

W.R. Hambrecht + Co., LLC ranks #546 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

10 actions

77% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 0
Civil Events 3
Total 13

Counts for W.R. Hambrecht + Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 0 Civil 3

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
05/24/1999
State of Formation
Delaware
CRD Number
45040
SEC Number
50935

Regulator-heavy mix

W.R. Hambrecht + Co., LLC in the heavier-disclosure third

W.R. Hambrecht + Co., LLC carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#546 of 20,055). Regulator-initiated events are 77% of the book (10 regulatory / 0 arbitration / 3 civil).

77% of W.R. Hambrecht + Co., LLC's 13 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of W.R. Hambrecht + Co., 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 W.R. Hambrecht + Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.R. Hambrecht + Co., LLC ranks #546 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.R. Hambrecht + Co., LLC?
A grade of D reflects W.R. Hambrecht + Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W.R. Hambrecht + Co., LLC have?
W.R. Hambrecht + Co., LLC has 13 total FINRA disclosures, including 10 regulatory events, 3 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is W.R. Hambrecht + Co., LLC?
W.R. Hambrecht + Co., 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 W.R. Hambrecht + Co., LLC's disciplinary record?
You can verify W.R. Hambrecht + Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 45040. 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.R. Hambrecht + Co., LLC's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid W.R. Hambrecht + Co., 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. W.R. Hambrecht + Co., LLC carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.