CRD #40118 · FINRA BrokerCheck + SEC IAPD

EFG Capital International

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, EFG Capital International ranks #1,178 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #25 of 251 on the same disclosure sort used on the state browse page. EFG Capital International carries 6 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
2
branch offices
6
disclosures
#1,178 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40118 EFG Capital International

EFG Capital International · Grade C · 6 disc · 3.00/office · Small firm

  • CRD 40118
  • GRADE C
  • DISC 6
  • REG 6
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 3.00
  • RANK #1,178 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Banyan Securities, LLC (3.00 disc/office)

Banyan Securities, LLC3.00Buell Securities Corp.3.00C. L. King & Associates…3.00EFG Capital Interna… (this)3.00
Disclosures per office among small firm peers (lower is cleaner)

EFG Capital International ranks #1,178 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

2 offices

FINRA: Small firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

6 actions

100% of all disclosures

Disclosures per office

3.00 per office

6 ÷ 2 offices

EFG Capital International vs. every disclosing firm

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

3 a cleaner per-office record than 4% 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%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 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 6
Arbitrations 0
Civil Events 0
Total 6

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

Disclosure category share

Regulatory 6 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Miami, FL
CRD Number
40118

Regulator-heavy mix

EFG Capital International in the heavier-disclosure third

EFG Capital International carries 6 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#1,178 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).

100% of EFG Capital International's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Florida cohort · 1.31× state average

EFG Capital International sits above the Florida disclosure average

EFG Capital International reports 6 BrokerCheck disclosures, 1.31× the Florida average of 4.6 across 251 graded firms with a principal-office state on file.

In Florida, 152 firms carry Grade A and 0 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 Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does EFG Capital International sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, EFG Capital International ranks #1,178 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #25 of 251 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 C mean for EFG Capital International?
A grade of C reflects EFG Capital International's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 6 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does EFG Capital International have?
EFG Capital International has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is EFG Capital International?
EFG Capital International operates 2 branch offices and is classified by FINRA as a small firm, registered in FL (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 EFG Capital International's disciplinary record?
You can verify EFG Capital International's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40118. 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). EFG Capital International's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid EFG Capital International 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. EFG Capital International carries 6 disclosures across 2 branch offices (about 3.00 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 EFG Capital International, both outside FL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Banyan Securities, LLC (CA) - 3.00 disclosures/office, nearest small firm peer to EFG Capital International's 3.00
  • Buell Securities Corp. (CT) - 3.00 disclosures/office, nearest small firm peer to EFG Capital International's 3.00
  • C. L. King & Associates, Inc. (NY) - 3.00 disclosures/office, nearest small firm peer to EFG Capital International's 3.00
  • Firms in FL - state roster that includes EFG Capital International's registration home.
  • Red Flags in Advisor Records - How to read EFG Capital International's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 6 disclosures behind EFG Capital International's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as EFG Capital International.
  • Compare firms - put EFG Capital International 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.