Branch offices
0 offices
FINRA: Small firm
CRD #130146 · FINRA BrokerCheck + SEC IAPD
Caviano, Frank Joseph
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Caviano, Frank Joseph ranks #7,511 of 20,055 by disclosure count (most disclosures first). Caviano, Frank Joseph has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #7,511 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 130146 Caviano, Frank Joseph
Caviano, Frank Joseph · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 130146
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #7,511 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Caviano, Frank Joseph ranks #7,511 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
- per office
footprint not reported
Clean disclosure surface
Caviano, Frank Joseph has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 130146
Clean BrokerCheck surface
Caviano, Frank Joseph's clean BrokerCheck surface
Caviano, Frank Joseph shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).
Caviano, Frank Joseph shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Caviano, Frank Joseph's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Caviano, Frank Joseph sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Caviano, Frank Joseph ranks #7,511 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 A mean for Caviano, Frank Joseph?
A grade of A means Caviano, Frank Joseph 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 Caviano, Frank Joseph have?
Caviano, Frank Joseph has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Caviano, Frank Joseph?
Caviano, Frank Joseph 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 Caviano, Frank Joseph's disciplinary record?
You can verify Caviano, Frank Joseph's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 130146. 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. Caviano, Frank Joseph currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Caviano, Frank Joseph's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Caviano, Frank Joseph's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Caviano, Frank Joseph's 0.00
- How to Vet a Financial Advisor - Use Caviano, Frank Joseph's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Caviano, Frank Joseph's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Caviano, Frank Joseph.
- Compare firms - put Caviano, Frank Joseph 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.