CRD #10465 · FINRA BrokerCheck + SEC IAPD

Capital Brokerage Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Brokerage Corporation ranks #1,637 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #5 of 43 on the same disclosure sort used on the state browse page. Capital Brokerage Corporation carries 4 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
4
disclosures
#1,637 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 10465 Capital Brokerage Corporation

Capital Brokerage Corporation · Grade B · 4 disc · 2.00/office · Small firm

  • CRD 10465
  • GRADE B
  • DISC 4
  • REG 3
  • ARB 1
  • CIV 0
  • BRANCH 2
  • PER-OFF 2.00
  • RANK #1,637 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: A. R. Schmeidler & Co., Inc. (2.00 disc/office)

A. R. Schmeidler & Co.,…2.00AEI Securities, Inc.2.00Aldwych Securities LLC2.00Capital Brokerage C… (this)2.00
Disclosures per office among small firm peers (lower is cleaner)

Capital Brokerage Corporation ranks #1,637 of 20,055 by disclosure count among graded broker-dealers; elevated 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

2 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

3 actions

75% of all disclosures

Disclosures per office

2.00 per office

4 ÷ 2 offices

Capital Brokerage Corporation vs. every disclosing firm

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

2 a cleaner per-office record than 10% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). This entry sits in this band. 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 3
Arbitrations 1
Civil Events 0
Total 4

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

Disclosure category share

Regulatory 3 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Glen Allen, VA
CRD Number
10465

Elevated disclosures per office

Capital Brokerage Corporation in the heavier-disclosure third

Capital Brokerage Corporation carries 4 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,637 of 20,055). Regulator-initiated events are 75% of the book (3 regulatory / 1 arbitration / 0 civil).

Capital Brokerage Corporation runs 2.00 disclosures per branch office (cleaner than only 90% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Virginia cohort · 2.07× state average

Capital Brokerage Corporation sits above the Virginia disclosure average

Capital Brokerage Corporation reports 4 BrokerCheck disclosures, 2.07× the Virginia average of 1.9 across 43 graded firms with a principal-office state on file.

In Virginia, 26 firms carry Grade A and 0 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 Virginia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capital Brokerage Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Brokerage Corporation ranks #1,637 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #5 of 43 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 Capital Brokerage Corporation?
A grade of B reflects Capital Brokerage Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital Brokerage Corporation have?
Capital Brokerage Corporation has 4 total FINRA disclosures, including 3 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Brokerage Corporation?
Capital Brokerage Corporation operates 2 branch offices and is classified by FINRA as a small firm, registered in VA (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 Capital Brokerage Corporation's disciplinary record?
You can verify Capital Brokerage Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 10465. 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 BrokerCheck. For Capital Brokerage Corporation, the 2.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Capital Brokerage Corporation 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 Brokerage Corporation carries 4 disclosures across 2 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • A. R. Schmeidler & Co., Inc. - 2.00 disclosures/office, nearest small firm peer to Capital Brokerage Corporation's 2.00
  • AEI Securities, Inc. (MN) - 2.00 disclosures/office, nearest small firm peer to Capital Brokerage Corporation's 2.00
  • Aldwych Securities LLC (CT) - 2.00 disclosures/office, nearest small firm peer to Capital Brokerage Corporation's 2.00
  • Firms in VA - state roster that includes Capital Brokerage Corporation's registration home.
  • Red Flags in Advisor Records - How to read Capital Brokerage Corporation's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 4 disclosures behind Capital Brokerage Corporation's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Capital Brokerage Corporation.
  • Compare firms - put Capital Brokerage Corporation 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.