Branch offices
2 offices
FINRA: Small firm
CRD #40823 · FINRA BrokerCheck + SEC IAPD
Capital Research Brokerage Services, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Research Brokerage Services, LLC ranks #7,365 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #129 of 279 on the same disclosure sort used on the state browse page. Capital Research Brokerage Services, LLC 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
- #7,365 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 40823 Capital Research Brokerage Services, LLC
Capital Research Brokerage Services, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 40823
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #7,365 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Capital Research Brokerage Services, LLC ranks #7,365 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 Research Brokerage Services, LLC 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
- Pasadena, CA
- CRD Number
- 40823
Clean BrokerCheck surface
Capital Research Brokerage Services, LLC's clean BrokerCheck surface
Capital Research Brokerage Services, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Capital Research Brokerage Services, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Capital Research Brokerage Services, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
California cohort · 0.00× state average
Capital Research Brokerage Services, LLC sits below the California disclosure average
Capital Research Brokerage Services, LLC reports 0 BrokerCheck disclosures, 0.00× the California average of 2.1, lighter than most of the 279 graded firms filed there.
In California, 189 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 California state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Capital Research Brokerage Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Research Brokerage Services, LLC ranks #7,365 of 20,055 by disclosure count (most disclosures first). Among firms registered in CA, it ranks #129 of 279 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 Research Brokerage Services, LLC?
A grade of A means Capital Research Brokerage Services, LLC 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 Research Brokerage Services, LLC have?
Capital Research Brokerage Services, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Research Brokerage Services, LLC?
Capital Research Brokerage Services, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in CA (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 Research Brokerage Services, LLC's disciplinary record?
You can verify Capital Research Brokerage Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40823. 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 Research Brokerage Services, LLC 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 Research Brokerage Services, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Capital Research Brokerage Services, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Capital Research Brokerage Services, LLC's 0.00
- Firms in CA - state roster that includes Capital Research Brokerage Services, LLC's registration home.
- How to Vet a Financial Advisor - Use Capital Research Brokerage Services, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Capital Research Brokerage Services, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Capital Research Brokerage Services, LLC.
- Compare firms - put Capital Research Brokerage Services, LLC 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.