Branch offices
2 offices
FINRA: Small firm
CRD #23521 · FINRA BrokerCheck + SEC IAPD
Carter Capital Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carter Capital Corporation ranks #7,468 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #50 of 111 on the same disclosure sort used on the state browse page. Carter Capital Corporation 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
- #7,468 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 23521 Carter Capital Corporation
Carter Capital Corporation · Grade A · 0 disc · 0.00/office · Small firm
- CRD 23521
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #7,468 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Carter Capital Corporation ranks #7,468 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
Carter Capital Corporation 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
- Southport, CT, 06890
- Formed
- 08/06/1987
- State of Formation
- Connecticut
- CRD Number
- 23521
- SEC Number
- 40524
Clean BrokerCheck surface
Carter Capital Corporation's clean BrokerCheck surface
Carter Capital Corporation shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Carter Capital Corporation shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Carter Capital Corporation's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Connecticut cohort · 0.00× state average
Carter Capital Corporation sits below the Connecticut disclosure average
Carter Capital Corporation reports 0 BrokerCheck disclosures, 0.00× the Connecticut average of 3.5, lighter than most of the 111 graded firms filed there.
In Connecticut, 76 firms carry Grade A and 2 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 Connecticut state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Carter Capital Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Carter Capital Corporation ranks #7,468 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #50 of 111 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 Carter Capital Corporation?
A grade of A means Carter Capital Corporation 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 Carter Capital Corporation have?
Carter Capital Corporation has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Carter Capital Corporation?
Carter Capital Corporation operates 2 branch offices and is classified by FINRA as a small firm, registered in CT (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 Carter Capital Corporation's disciplinary record?
You can verify Carter Capital Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 23521. 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. Carter Capital Corporation 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 Carter Capital Corporation's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Carter Capital Corporation's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Carter Capital Corporation's 0.00
- Firms in CT - state roster that includes Carter Capital Corporation's registration home.
- How to Vet a Financial Advisor - Use Carter Capital Corporation's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Carter Capital Corporation's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Carter Capital Corporation.
- Compare firms - put Carter Capital Corporation 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.