CRD #26580 · FINRA BrokerCheck + SEC IAPD

Axiom Capital Management, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Axiom Capital Management, Inc. ranks #438 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #59 of 868 on the same disclosure sort used on the state browse page. Axiom Capital Management, Inc. carries 15 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
15
disclosures
#438 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 26580 Axiom Capital Management, Inc.

Axiom Capital Management, Inc. · Grade C · 15 disc · 5.00/office · Small firm

  • CRD 26580
  • GRADE C
  • DISC 15
  • REG 11
  • ARB 3
  • CIV 1
  • BRANCH 3
  • PER-OFF 5.00
  • RANK #438 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Bernard L. Madoff Investment Securities LLC (5.00 disc/office)

Bernard L. Madoff Inves…5.00First Honolulu Securiti…5.00Kensington Capital Corp.5.00Axiom Capital Manag… (this)5.00
Disclosures per office among small firm peers (lower is cleaner)

Axiom Capital Management, Inc. ranks #438 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

Branch offices

3 offices

FINRA: Small firm

Total disclosures

15 events

On FINRA BrokerCheck

Regulatory events

11 actions

73% of all disclosures

Disclosures per office

5.00 per office

15 ÷ 3 offices

Disclosure Intensity

Disclosures per branch office, the firm's disclosure load relative to its operating footprint.

Axiom Capital Management, Inc. - disclosures per branch office 100.0%
Typical multi-office firm

Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 11
Arbitrations 3
Civil Events 1
Total 15

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

Disclosure category share

Regulatory 11 Arbitration 3 Civil 1

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
26580

Heavy disclosure book

Axiom Capital Management, Inc. in the heavier-disclosure third

Axiom Capital Management, Inc. carries 15 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#438 of 20,055). Regulator-initiated events are 73% of the book (11 regulatory / 3 arbitration / 1 civil).

Axiom Capital Management, Inc. ranks #438 of 20,055 by BrokerCheck disclosure count among graded firms (15 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.71× state average

Axiom Capital Management, Inc. sits above the New York disclosure average

Axiom Capital Management, Inc. reports 15 BrokerCheck disclosures, 1.71× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Axiom Capital Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Axiom Capital Management, Inc. ranks #438 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #59 of 868 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 C mean for Axiom Capital Management, Inc.?
A grade of C reflects Axiom Capital Management, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 15 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Axiom Capital Management, Inc. have?
Axiom Capital Management, Inc. has 15 total FINRA disclosures, including 11 regulatory events, 3 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Axiom Capital Management, Inc.?
Axiom Capital Management, Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in NY (Small 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 Axiom Capital Management, Inc.'s disciplinary record?
You can verify Axiom Capital Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 26580. 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). Axiom Capital Management, Inc.'s 15 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Axiom Capital Management, 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. Axiom Capital Management, Inc. carries 15 disclosures across 3 branch offices (about 5.00 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 Axiom Capital Management, Inc., both outside NY 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.