CRD #37533 · FINRA BrokerCheck + SEC IAPD

Alpha-Omega Capital Corp

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Alpha-Omega Capital Corp ranks #2,539 of 20,055 by disclosure count (most disclosures first). Alpha-Omega Capital Corp carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
0
branch offices
2
disclosures
#2,539 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 37533 Alpha-Omega Capital Corp

Alpha-Omega Capital Corp · Grade B · 2 disc · 2.00/office · Single-office firm

  • CRD 37533
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #2,539 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)

Abramenko & Company, Inc.2.00Abshier Webb Donnelly &…2.00ABW Trading, LLC2.00Alpha-Omega Capital… (this)2.00
Disclosures per office among single-office firm peers (lower is cleaner)

Alpha-Omega Capital Corp ranks #2,539 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 0
Civil Events 0
Total 2

Counts for Alpha-Omega Capital Corp reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
09/15/1994
State of Formation
Ohio
CRD Number
37533
SEC Number
47965

Regulator-heavy mix

Alpha-Omega Capital Corp in the heavier-disclosure third

Alpha-Omega Capital Corp carries 2 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,539 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of Alpha-Omega Capital Corp's 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Alpha-Omega Capital Corp'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 Alpha-Omega Capital Corp sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Alpha-Omega Capital Corp ranks #2,539 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 B mean for Alpha-Omega Capital Corp?
A grade of B reflects Alpha-Omega Capital Corp's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Alpha-Omega Capital Corp have?
Alpha-Omega Capital Corp has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Alpha-Omega Capital Corp?
Alpha-Omega Capital Corp 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 Alpha-Omega Capital Corp's disciplinary record?
You can verify Alpha-Omega Capital Corp's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37533. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Alpha-Omega Capital Corp 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. Alpha-Omega Capital Corp carries 2 disclosures across 0 branch offices (about 2.00 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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.