Branch offices
0 offices
FINRA: Small firm
CRD #124392 · FINRA BrokerCheck + SEC IAPD
Certes Capital Securities, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Certes Capital Securities, LLC ranks #3,637 of 20,055 by disclosure count (most disclosures first). Certes Capital Securities, LLC carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.
- Grade B
- Safety grade
- 0
- branch offices
- 1
- disclosure
- #3,637 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 124392 Certes Capital Securities, LLC
Certes Capital Securities, LLC · Grade B · 1 disc · 1.00/office · Single-office firm
- CRD 124392
- GRADE B
- DISC 1
- REG 1
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #3,637 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)
Certes Capital Securities, LLC ranks #3,637 of 20,055 by disclosure count among graded broker-dealers; heavy load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 4/5 - 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
1 event
On FINRA BrokerCheck
Regulatory events
1 action
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 1 |
Counts for Certes Capital Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 124392
Regulator-heavy mix
Certes Capital Securities, LLC in the heavier-disclosure third
Certes Capital Securities, LLC carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#3,637 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).
100% of Certes Capital Securities, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Certes Capital Securities, LLC'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 Certes Capital Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Certes Capital Securities, LLC ranks #3,637 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 B mean for Certes Capital Securities, LLC?
A grade of B reflects Certes Capital Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 1 total disclosure across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Certes Capital Securities, LLC have?
Certes Capital Securities, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Certes Capital Securities, LLC?
Certes Capital Securities, LLC 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 Certes Capital Securities, LLC's disciplinary record?
You can verify Certes Capital Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 124392. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Certes Capital Securities, LLC 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. Certes Capital Securities, LLC carries 1 disclosure across 0 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1ST BCCW Capital Corp - 1.00 disclosures/office, nearest single-office firm peer to Certes Capital Securities, LLC's 1.00
- 21 Capital Group, Inc. - 1.00 disclosures/office, nearest single-office firm peer to Certes Capital Securities, LLC's 1.00
- 3 Bridges Securities - 1.00 disclosures/office, nearest single-office firm peer to Certes Capital Securities, LLC's 1.00
- Red Flags in Advisor Records - How to read Certes Capital Securities, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 1 disclosure behind Certes Capital Securities, LLC's Grade B.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Certes Capital Securities, LLC.
- Compare firms - put Certes Capital Securities, LLC next to peers on grade and footprint.
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.