CRD #43814 · FINRA BrokerCheck + SEC IAPD

APW Capital, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, APW Capital, Inc. ranks #1,983 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #27 of 114 on the same disclosure sort used on the state browse page. APW Capital, Inc. carries 3 BrokerCheck disclosures across 53 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
53
branch offices
3
disclosures
#1,983 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 43814 APW Capital, Inc.

APW Capital, Inc. · Grade B · 3 disc · 0.06/office · Mid-sized firm

  • CRD 43814
  • GRADE B
  • DISC 3
  • REG 2
  • ARB 1
  • CIV 0
  • BRANCH 53
  • PER-OFF 0.06
  • RANK #1,983 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: THE Leaders Group, Inc. (0.05 disc/office)

THE Leaders Group, Inc.0.05Usaa Investment Service…0.05Nylife Distributors LLC0.06APW Capital, Inc. (this)0.06
Disclosures per office among mid-sized firm peers (lower is cleaner)

APW Capital, Inc. ranks #1,983 of 20,055 by disclosure count among graded broker-dealers; light load at 0.06 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

53 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

2 actions

67% of all disclosures

Disclosures per office

0.06 per office

3 ÷ 53 offices

APW Capital, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 91% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 1
Civil Events 0
Total 3

Counts for APW Capital, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Totowa, NJ, 07866
Formed
07/03/1997
State of Formation
New Jersey
CRD Number
43814
SEC Number
50433

Lower disclosures per office

APW Capital, Inc. in the heavier-disclosure third

APW Capital, Inc. carries 3 BrokerCheck disclosures across 53 branch offices - a heavier-third raw book among graded firms (#1,983 of 20,055). Regulator-initiated events are 67% of the book (2 regulatory / 1 arbitration / 0 civil).

APW Capital, Inc. runs 0.06 disclosures per branch office (cleaner than 91% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of APW Capital, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.23× state average

APW Capital, Inc. sits below the New Jersey disclosure average

APW Capital, Inc. reports 3 BrokerCheck disclosures, 0.23× the New Jersey average of 12.9, lighter than most of the 114 graded firms filed there.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does APW Capital, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, APW Capital, Inc. ranks #1,983 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #27 of 114 on the same disclosure sort used on the state browse page. 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 APW Capital, Inc.?
A grade of B reflects APW Capital, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 3 total disclosures across 53 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does APW Capital, Inc. have?
APW Capital, Inc. has 3 total FINRA disclosures, including 2 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is APW Capital, Inc.?
APW Capital, Inc. operates 53 branch offices and is classified by FINRA as a small firm, registered in NJ (Mid-sized 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 APW Capital, Inc.'s disciplinary record?
You can verify APW Capital, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 43814. 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 APW Capital, Inc. 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. APW Capital, Inc. carries 3 disclosures across 53 branch offices (about 0.06 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for APW Capital, Inc., both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

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.