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.
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.