CRD #120187 · FINRA BrokerCheck + SEC IAPD

DBA the Delta Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DBA the Delta Company ranks #3,740 of 20,055 by disclosure count (most disclosures first). DBA the Delta Company carries 1 BrokerCheck disclosure across 0 branch offices - heavy load for a single-office firm, earning a Grade B.

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Grade B
Safety grade
0
branch offices
1
disclosure
#3,740 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 120187 DBA the Delta Company

DBA the Delta Company · Grade B · 1 disc · 1.00/office · Single-office firm

  • CRD 120187
  • GRADE B
  • DISC 1
  • REG 0
  • ARB 1
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #3,740 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1ST BCCW Capital Corp (1.00 disc/office)

1ST BCCW Capital Corp1.0021 Capital Group, Inc.1.003 Bridges Securities1.00DBA the Delta Company (this)1.00
Disclosures per office among single-office firm peers (lower is cleaner)

DBA the Delta Company ranks #3,740 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

0 actions

0% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 0
Arbitrations 1
Civil Events 0
Total 1

Counts for DBA the Delta Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 0 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
01/17/2002
State of Formation
Texas
CRD Number
120187
SEC Number
65266

Customer-facing mix

DBA the Delta Company in the heavier-disclosure third

DBA the Delta Company carries 1 BrokerCheck disclosure across 0 branch offices - a heavier-third raw book among graded firms (#3,740 of 20,055). Customer-facing events dominate: 1 arbitration and 0 civil versus 0 regulatory (0% regulator share).

Only 0% of DBA the Delta Company's disclosures are regulator-initiated; arbitrations (1) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of DBA the Delta Company'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 DBA the Delta Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, DBA the Delta Company ranks #3,740 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 DBA the Delta Company?
A grade of B reflects DBA the Delta Company'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 DBA the Delta Company have?
DBA the Delta Company has 1 total FINRA disclosure, including 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is DBA the Delta Company?
DBA the Delta Company 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 DBA the Delta Company's disciplinary record?
You can verify DBA the Delta Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120187. 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 DBA the Delta Company 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. DBA the Delta Company 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

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.