CRD #30002 · FINRA BrokerCheck + SEC IAPD

Capwest Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capwest Securities, Inc. ranks #509 of 20,055 by disclosure count (most disclosures first). Capwest Securities, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
0
branch offices
13
disclosures
#509 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 30002 Capwest Securities, Inc.

Capwest Securities, Inc. · Grade D · 13 disc · 13.00/office · Single-office firm

  • CRD 30002
  • GRADE D
  • DISC 13
  • REG 4
  • ARB 9
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #509 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Advanced Equities, Inc. (13.00 disc/office)

Advanced Equities, Inc.13.00Barrett Securities Inc.13.00Burlington Capital Mark…13.00Capwest Securities,… (this)13.00
Disclosures per office among single-office firm peers (lower is cleaner)

Capwest Securities, Inc. ranks #509 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

0 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

4 actions

31% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 9
Civil Events 0
Total 13

Counts for Capwest Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 9 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
30002

Heavy disclosure book

Capwest Securities, Inc. in the heavier-disclosure third

Capwest Securities, Inc. carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#509 of 20,055). Mix is 4 regulatory, 9 arbitration, and 0 civil (31% regulator share).

Capwest Securities, Inc. ranks #509 of 20,055 by BrokerCheck disclosure count among graded firms (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Capwest Securities, 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 Capwest Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capwest Securities, Inc. ranks #509 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 D mean for Capwest Securities, Inc.?
A grade of D reflects Capwest Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capwest Securities, Inc. have?
Capwest Securities, Inc. has 13 total FINRA disclosures, including 4 regulatory events, 9 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capwest Securities, Inc.?
Capwest Securities, 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 Capwest Securities, Inc.'s disciplinary record?
You can verify Capwest Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30002. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Capwest Securities, Inc.'s 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Capwest Securities, 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. Capwest Securities, Inc. carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.