Virginia
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| DMG SECURITIES, INC. | 4 | 1 | F | Active |
| SPIRE SECURITIES, LLC | 3 | 1 | F | Active |
| PACTOLUS CAPITAL PARTNERS | 2 | 1 | F | Active |
| THOMPSON DAVIS & CO., INC. | 2 | 1 | F | Active |
| HARRIS WILLIAMS | 1 | 1 | F | Active |
| VELERITY GROUP, INC. | 1 | 1 | F | Active |
| ACALYX ADVISORS INC. | 0 | 1 | A | Active |
| ANTA CAPITAL | 0 | 1 | A | Active |
| CARY STREET PARTNERS | 0 | 1 | A | Active |
| DOMINION PARTNERS, L.C. | 0 | 1 | A | Active |
| EDWARD WOLFE LLC | 0 | 1 | A | Active |
| FON CORPORATE FINANCE LLC | 0 | 1 | A | Active |
| MCLAUGHLIN RYDER INVESTMENTS, INC. | 0 | 1 | A | Active |
| SCOTT JAMES GROUP, INC. | 0 | 1 | A | Active |
| VEST SECURITIES, LLC | 0 | 1 | A | Active |
| YR SECURITIES LLC | 0 | 1 | A | Active |
Inside Virginia's Broker-Dealer Landscape
Virginia is home to 16 broker-dealer firms in FINRA's public register, of which 16 (100.0%) are currently marked ACTIVE. Those firms employ 16 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 13 disclosures on BrokerCheck, averaging 0.8 per firm. Grade distribution across Virginia's broker-dealers: 10 graded A, 0 graded B, 0 graded C, 0 graded D, and 6 graded F. That means 62.5% of graded firms hold an A and 37.5% fall into the D or F bands.
Grades reflect our internal model weighing disclosure volume against firm size and scope; they are editorial signals, not FINRA ratings. Disclosure totals on BrokerCheck represent reported events, not proven violations — large multistate firms headquartered in Virginia will naturally carry more disclosures than small single-office firms. This page is informational only and is not financial, legal, or investment advice. Before hiring any Virginia advisor, confirm the firm's current record at FINRA BrokerCheck and review the specific representative's individual CRD report.
Read our methodology — how this data is sourced, computed, and verified.
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