CRD #119222 · FINRA BrokerCheck + SEC IAPD

Dubeau Capital USA, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dubeau Capital USA, Inc. ranks #2,717 of 20,055 by disclosure count (most disclosures first). Dubeau Capital USA, Inc. carries 2 BrokerCheck disclosures 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
2
disclosures
#2,717 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 119222 Dubeau Capital USA, Inc.

Dubeau Capital USA, Inc. · Grade B · 2 disc · 2.00/office · Single-office firm

  • CRD 119222
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #2,717 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)

Abramenko & Company, Inc.2.00Abshier Webb Donnelly &…2.00ABW Trading, LLC2.00Dubeau Capital USA,… (this)2.00
Disclosures per office among single-office firm peers (lower is cleaner)

Dubeau Capital USA, Inc. ranks #2,717 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 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

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 0
Civil Events 0
Total 2

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

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
05/31/2001
CRD Number
119222
SEC Number
65162

Regulator-heavy mix

Dubeau Capital USA, Inc. in the heavier-disclosure third

Dubeau Capital USA, Inc. carries 2 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,717 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of Dubeau Capital USA, Inc.'s 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Dubeau Capital USA, Inc.'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 Dubeau Capital USA, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Dubeau Capital USA, Inc. ranks #2,717 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 Dubeau Capital USA, Inc.?
A grade of B reflects Dubeau Capital USA, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Dubeau Capital USA, Inc. have?
Dubeau Capital USA, Inc. has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Dubeau Capital USA, Inc.?
Dubeau Capital USA, Inc. 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 Dubeau Capital USA, Inc.'s disciplinary record?
You can verify Dubeau Capital USA, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 119222. 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 Dubeau Capital USA, 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. Dubeau Capital USA, Inc. carries 2 disclosures across 0 branch offices (about 2.00 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.