Branch offices
0 offices
FINRA: Small firm
CRD #4082 · FINRA BrokerCheck + SEC IAPD
1717 Capital Management Company
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, 1717 Capital Management Company ranks #1,346 of 20,055 by disclosure count (most disclosures first). 1717 Capital Management Company carries 5 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 5
- disclosures
- #1,346 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 4082 1717 Capital Management Company
1717 Capital Management Company · Grade C · 5 disc · 5.00/office · Single-office firm
- CRD 4082
- GRADE C
- DISC 5
- REG 4
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,346 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST Bridgehouse Securities, LLC (5.00 disc/office)
1717 Capital Management Company ranks #1,346 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
5 events
On FINRA BrokerCheck
Regulatory events
4 actions
80% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 4 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 5 |
Counts for 1717 Capital Management Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 4 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 4082
Regulator-heavy mix
1717 Capital Management Company in the heavier-disclosure third
1717 Capital Management Company carries 5 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,346 of 20,055). Regulator-initiated events are 80% of the book (4 regulatory / 1 arbitration / 0 civil).
80% of 1717 Capital Management Company's 5 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of 1717 Capital Management Company'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 1717 Capital Management Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, 1717 Capital Management Company ranks #1,346 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 C mean for 1717 Capital Management Company?
A grade of C reflects 1717 Capital Management Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 5 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does 1717 Capital Management Company have?
1717 Capital Management Company has 5 total FINRA disclosures, including 4 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is 1717 Capital Management Company?
1717 Capital Management Company 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 1717 Capital Management Company's disciplinary record?
You can verify 1717 Capital Management Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 4082. 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). 1717 Capital Management Company's 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid 1717 Capital Management Company 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. 1717 Capital Management Company carries 5 disclosures across 0 branch offices (about 5.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST Bridgehouse Securities, LLC - 5.00 disclosures/office, nearest single-office firm peer to 1717 Capital Management Company's 5.00
- Ajax Investments, LLC - 5.00 disclosures/office, nearest single-office firm peer to 1717 Capital Management Company's 5.00
- ALL Funds, Inc. - 5.00 disclosures/office, nearest single-office firm peer to 1717 Capital Management Company's 5.00
- Red Flags in Advisor Records - How to read 1717 Capital Management Company's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 5 disclosures behind 1717 Capital Management Company's Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as 1717 Capital Management Company.
- Compare firms - put 1717 Capital Management Company 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.