Branch offices
2 offices
FINRA: Small firm
CRD #135562 · FINRA BrokerCheck + SEC IAPD
Columbia West Capital, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Columbia West Capital, LLC ranks #8,023 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #15 of 25 on the same disclosure sort used on the state browse page. Columbia West Capital, 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
- #8,023 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 135562 Columbia West Capital, LLC
Columbia West Capital, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 135562
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #8,023 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Columbia West Capital, LLC ranks #8,023 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
Columbia West Capital, 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
- Scottsdale, AZ
- CRD Number
- 135562
Clean BrokerCheck surface
Columbia West Capital, LLC's clean BrokerCheck surface
Columbia West Capital, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Columbia West Capital, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Columbia West Capital, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Arizona cohort · 0.00× state average
Columbia West Capital, LLC sits below the Arizona disclosure average
Columbia West Capital, LLC reports 0 BrokerCheck disclosures, 0.00× the Arizona average of 5.9, lighter than most of the 25 graded firms filed there.
In Arizona, 17 firms carry Grade A and 1 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 Arizona state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Columbia West Capital, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Columbia West Capital, LLC ranks #8,023 of 20,055 by disclosure count (most disclosures first). Among firms registered in AZ, it ranks #15 of 25 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 Columbia West Capital, LLC?
A grade of A means Columbia West Capital, 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 Columbia West Capital, LLC have?
Columbia West Capital, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Columbia West Capital, LLC?
Columbia West Capital, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in AZ (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 Columbia West Capital, LLC's disciplinary record?
You can verify Columbia West Capital, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 135562. 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. Columbia West Capital, 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 Columbia West Capital, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Columbia West Capital, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Columbia West Capital, LLC's 0.00
- Firms in AZ - state roster that includes Columbia West Capital, LLC's registration home.
- How to Vet a Financial Advisor - Use Columbia West Capital, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Columbia West Capital, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Columbia West Capital, LLC.
- Compare firms - put Columbia West Capital, 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.