Branch offices
2 offices
FINRA: Small firm
CRD #148504 · FINRA BrokerCheck + SEC IAPD
Capital & Estate Management, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital & Estate Management, Inc. ranks #7,324 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #126 of 251 on the same disclosure sort used on the state browse page. Capital & Estate Management, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #7,324 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 148504 Capital & Estate Management, Inc.
Capital & Estate Management, Inc. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 148504
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #7,324 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Capital & Estate Management, Inc. ranks #7,324 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Capital & Estate Management, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Spring Hill, FL
- CRD Number
- 148504
Clean BrokerCheck surface
Capital & Estate Management, Inc.'s clean BrokerCheck surface
Capital & Estate Management, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Capital & Estate Management, Inc. shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Capital & Estate Management, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Florida cohort · 0.00× state average
Capital & Estate Management, Inc. sits below the Florida disclosure average
Capital & Estate Management, Inc. reports 0 BrokerCheck disclosures, 0.00× the Florida average of 4.6, lighter than most of the 251 graded firms filed there.
In Florida, 152 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 Florida state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Capital & Estate Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital & Estate Management, Inc. ranks #7,324 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #126 of 251 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 A mean for Capital & Estate Management, Inc.?
A grade of A means Capital & Estate Management, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Capital & Estate Management, Inc. have?
Capital & Estate Management, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital & Estate Management, Inc.?
Capital & Estate Management, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in FL (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 & Estate Management, Inc.'s disciplinary record?
You can verify Capital & Estate Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 148504. 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 BrokerCheck record. Capital & Estate Management, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Capital & Estate Management, Inc.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Capital & Estate Management, Inc.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Capital & Estate Management, Inc.'s 0.00
- Firms in FL - state roster that includes Capital & Estate Management, Inc.'s registration home.
- How to Vet a Financial Advisor - Use Capital & Estate Management, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Capital & Estate Management, Inc.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Capital & Estate Management, Inc..
- Compare firms - put Capital & Estate Management, Inc. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.