CRD #1576 · FINRA BrokerCheck + SEC IAPD

Daiwa Capital Markets America Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Daiwa Capital Markets America Inc. ranks #185 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #34 of 868 on the same disclosure sort used on the state browse page. Daiwa Capital Markets America Inc. carries 30 BrokerCheck disclosures across 29 branch offices - elevated load for a mid-sized firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
29
branch offices
30
disclosures
#185 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 1576 Daiwa Capital Markets America Inc.

Daiwa Capital Markets America Inc. · Grade D · 30 disc · 1.03/office · Mid-sized firm

  • CRD 1576
  • GRADE D
  • DISC 30
  • REG 30
  • ARB 0
  • CIV 0
  • BRANCH 29
  • PER-OFF 1.03
  • RANK #185 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Newbridge Securities Corporation (1.09 disc/office)

Newbridge Securities Co…1.09Canaccord Genuity LLC0.96Truist Securities, Inc.0.92Daiwa Capital Marke… (this)1.03
Disclosures per office among mid-sized firm peers (lower is cleaner)

Daiwa Capital Markets America Inc. ranks #185 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.03 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

29 offices

FINRA: Medium firm

Total disclosures

30 events

On FINRA BrokerCheck

Regulatory events

30 actions

100% of all disclosures

Disclosures per office

1.03 per office

30 ÷ 29 offices

Daiwa Capital Markets America Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 30
Arbitrations 0
Civil Events 0
Total 30

Counts for Daiwa Capital Markets America Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 30 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY
CRD Number
1576

Regulator-heavy mix

Daiwa Capital Markets America Inc. in the heavier-disclosure third

Daiwa Capital Markets America Inc. carries 30 BrokerCheck disclosures across 29 branch offices - a heavier-third raw book among graded firms (#185 of 20,055). Regulator-initiated events are 100% of the book (30 regulatory / 0 arbitration / 0 civil).

100% of Daiwa Capital Markets America Inc.'s 30 disclosures are regulator-initiated (30 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Daiwa Capital Markets America Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 3.43× state average

Daiwa Capital Markets America Inc. sits above the New York disclosure average

Daiwa Capital Markets America Inc. reports 30 BrokerCheck disclosures, 3.43× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Daiwa Capital Markets America Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Daiwa Capital Markets America Inc. ranks #185 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #34 of 868 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 D mean for Daiwa Capital Markets America Inc.?
A grade of D reflects Daiwa Capital Markets America Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 30 total disclosures across 29 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Daiwa Capital Markets America Inc. have?
Daiwa Capital Markets America Inc. has 30 total FINRA disclosures, including 30 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Daiwa Capital Markets America Inc.?
Daiwa Capital Markets America Inc. operates 29 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized 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 Daiwa Capital Markets America Inc.'s disciplinary record?
You can verify Daiwa Capital Markets America Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 1576. 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). Daiwa Capital Markets America Inc.'s 30 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Daiwa Capital Markets America 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. Daiwa Capital Markets America Inc. carries 30 disclosures across 29 branch offices (about 1.03 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Daiwa Capital Markets America Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Newbridge Securities Corporation (FL) - 1.09 disclosures/office, nearest mid-sized firm peer to Daiwa Capital Markets America Inc.'s 1.03
  • Canaccord Genuity LLC (NY) - 0.96 disclosures/office, nearest mid-sized firm peer to Daiwa Capital Markets America Inc.'s 1.03
  • Truist Securities, Inc. (GA) - 0.92 disclosures/office, nearest mid-sized firm peer to Daiwa Capital Markets America Inc.'s 1.03
  • Firms in NY - state roster that includes Daiwa Capital Markets America Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Daiwa Capital Markets America Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 30 disclosures behind Daiwa Capital Markets America Inc.'s Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Daiwa Capital Markets America Inc..
  • Compare firms - put Daiwa Capital Markets America Inc. 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.