Wisconsin
Broker-dealer firm disciplinary records from FINRA BrokerCheck
Grade Distribution
Firms by Disclosure Count
| Firm | Disclosures | Advisors | Grade | Status |
|---|---|---|---|---|
| HARBOUR INVESTMENTS, INC. | 9 | 1 | F | Active |
| KCD FINANCIAL, INC. | 4 | 1 | F | Active |
| CARL M. HENNIG, INC. | 3 | 1 | F | Active |
| H. C. DENISON CO. | 3 | 1 | F | Active |
| SENTRY EQUITY SERVICES, INC. | 2 | 1 | F | Active |
| ABACUS INVESTMENTS, INC. | 0 | 1 | A | Active |
| GM SECURITIES, LLC | 0 | 1 | A | Active |
Inside Wisconsin's Broker-Dealer Landscape
Wisconsin is home to 7 broker-dealer firms in FINRA's public register, of which 7 (100.0%) are currently marked ACTIVE. Those firms employ 7 registered advisors across their home offices and branches — an average of 1.0 advisors per firm.
The state's aggregate disciplinary footprint totals 21 disclosures on BrokerCheck, averaging 3.0 per firm. Grade distribution across Wisconsin's broker-dealers: 2 graded A, 0 graded B, 0 graded C, 0 graded D, and 5 graded F. That means 28.6% of graded firms hold an A and 71.4% 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 Wisconsin 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 Wisconsin 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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