Branch offices
0 offices
FINRA: Small firm
CRD #19607 · FINRA BrokerCheck + SEC IAPD
Capital Asset Advisors, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Asset Advisors, Inc. ranks #3,599 of 20,055 by disclosure count (most disclosures first). Capital Asset Advisors, Inc. carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #3,599 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 19607 Capital Asset Advisors, Inc.
Capital Asset Advisors, Inc. · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 19607
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,599 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
Capital Asset Advisors, Inc. ranks #3,599 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 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
Total disclosures
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for Capital Asset Advisors, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 05/31/1988
- State of Formation
- New York
- CRD Number
- 19607
- SEC Number
- 37614
Regulator-heavy mix
Capital Asset Advisors, Inc. in the heavier-disclosure third
Capital Asset Advisors, Inc. carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#3,599 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of Capital Asset Advisors, Inc.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Capital Asset Advisors, Inc.'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 Capital Asset Advisors, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Asset Advisors, Inc. ranks #3,599 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 Capital Asset Advisors, Inc.?
A grade of B reflects Capital Asset Advisors, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital Asset Advisors, Inc. have?
Capital Asset Advisors, Inc. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Asset Advisors, Inc.?
Capital Asset Advisors, Inc. 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 Capital Asset Advisors, Inc.'s disciplinary record?
You can verify Capital Asset Advisors, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 19607. 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 Capital Asset Advisors, 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. Capital Asset Advisors, Inc. carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Capital Asset Advisors, Inc.'s 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Capital Asset Advisors, Inc.'s 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Capital Asset Advisors, Inc.'s 1.00
- Red Flags in Advisor Records - How to read Capital Asset Advisors, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind Capital Asset Advisors, Inc.'s Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Capital Asset Advisors, Inc..
- Compare firms - put Capital Asset Advisors, 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.
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.