Branch offices
19 offices
FINRA: Large firm
CRD #19714 · FINRA BrokerCheck + SEC IAPD
Barclays Capital Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Barclays Capital Inc. ranks #30 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #10 of 868 on the same disclosure sort used on the state browse page. Barclays Capital Inc. carries 164 BrokerCheck disclosures across 19 branch offices - heavy load for a regional firm, earning a Grade D.
- Grade D
- Safety grade
- 19
- branch offices
- 164
- disclosures
- #30 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 19714 Barclays Capital Inc.
Barclays Capital Inc. · Grade D · 164 disc · 8.63/office · Regional firm
- CRD 19714
- GRADE D
- DISC 164
- REG 160
- ARB 0
- CIV 4
- BRANCH 19
- PER-OFF 8.63
- RANK #30 of 20,055
- BOOK Regional firm
Intensity peers
Nearest same-size peer: Instinet, LLC (7.36 disc/office)
Barclays Capital Inc. ranks #30 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.63 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
164 events
On FINRA BrokerCheck
Regulatory events
160 actions
98% of all disclosures
Disclosures per office
8.63 per office
164 ÷ 19 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Barclays Capital 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 | 160 |
| Arbitrations | 0 |
| Civil Events | 4 |
| Total | 164 |
Counts for Barclays Capital Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 160 Arbitration 0 Civil 4
Firm Details
- Firm Size
- Large
- Scope
- ACTIVE
- Location
- New York, NY, 10019
- Formed
- 03/30/1998
- State of Formation
- Connecticut
- CRD Number
- 19714
- SEC Number
- 41342
Regulator-heavy mix
Barclays Capital Inc. in the heavier-disclosure third
Barclays Capital Inc. carries 164 BrokerCheck disclosures across 19 branch offices - a heavier-third raw book among graded firms (#30 of 20,055). Regulator-initiated events are 98% of the book (160 regulatory / 0 arbitration / 4 civil).
98% of Barclays Capital Inc.'s 164 disclosures are regulator-initiated (160 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Barclays Capital Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 19× state average
Barclays Capital Inc. sits above the New York disclosure average
Barclays Capital Inc. reports 164 BrokerCheck disclosures, 19× 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 Barclays Capital Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Barclays Capital Inc. ranks #30 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #10 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 D mean for Barclays Capital Inc.?
A grade of D reflects Barclays Capital Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 164 total disclosures across 19 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Barclays Capital Inc. have?
Barclays Capital Inc. has 164 total FINRA disclosures, including 160 regulatory events, 4 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Barclays Capital Inc.?
Barclays Capital Inc. operates 19 branch offices and is classified by FINRA as a large firm, registered in NY (Regional 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 Barclays Capital Inc.'s disciplinary record?
You can verify Barclays Capital Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19714. 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). Barclays Capital Inc.'s 164 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Barclays 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. Barclays Capital Inc. carries 164 disclosures across 19 branch offices (about 8.63 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 Barclays Capital Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (164 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (19 here).
Read with this firm
- Instinet, LLC (NY) - 7.36 disclosures/office, nearest regional firm peer to Barclays Capital Inc.'s 8.63
- Interactive Brokers LLC (CT) - 6.94 disclosures/office, nearest regional firm peer to Barclays Capital Inc.'s 8.63
- Pershing LLC (NJ) - 5.89 disclosures/office, nearest regional firm peer to Barclays Capital Inc.'s 8.63
- Firms in NY - state roster that includes Barclays Capital Inc.'s registration home.
- Red Flags in Advisor Records - How to read Barclays Capital Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 164 disclosures behind Barclays Capital Inc.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Barclays Capital Inc..
- Compare firms - put Barclays Capital Inc. 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.