Branch offices
11 offices
FINRA: Small firm
CRD #152514 · FINRA BrokerCheck + SEC IAPD
Ernst & Young Capital Advisors, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ernst & Young Capital Advisors, LLC ranks #9,526 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #520 of 868 on the same disclosure sort used on the state browse page. Ernst & Young Capital Advisors, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 11 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 11
- branch offices
- 0
- disclosures
- #9,526 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 152514 Ernst & Young Capital Advisors, LLC
Ernst & Young Capital Advisors, LLC · Grade A · 0 disc · 0.00/office · Regional firm
- CRD 152514
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 11
- PER-OFF 0.00
- RANK #9,526 of 20,055
- BOOK Regional firm
Intensity peers
Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)
Ernst & Young Capital Advisors, LLC ranks #9,526 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 ÷ 11 offices
Clean disclosure surface
Ernst & Young Capital Advisors, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 11 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- New York, NY, 10001
- Formed
- 11/06/2009
- State of Formation
- Delaware
- CRD Number
- 152514
- SEC Number
- 68461
Clean BrokerCheck surface
Ernst & Young Capital Advisors, LLC's clean BrokerCheck surface
Ernst & Young Capital Advisors, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 11 branch offices (Grade A).
Ernst & Young Capital Advisors, LLC shows zero reportable disclosures across 11 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ernst & Young Capital Advisors, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
New York cohort · 0.00× state average
Ernst & Young Capital Advisors, LLC sits below the New York disclosure average
Ernst & Young Capital Advisors, LLC reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.
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 Ernst & Young Capital Advisors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ernst & Young Capital Advisors, LLC ranks #9,526 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #520 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 A mean for Ernst & Young Capital Advisors, LLC?
A grade of A means Ernst & Young Capital Advisors, 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 Ernst & Young Capital Advisors, LLC have?
Ernst & Young Capital Advisors, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ernst & Young Capital Advisors, LLC?
Ernst & Young Capital Advisors, LLC operates 11 branch offices and is classified by FINRA as a small firm, registered in NY (Regional 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 Ernst & Young Capital Advisors, LLC's disciplinary record?
You can verify Ernst & Young Capital Advisors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 152514. 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. Ernst & Young Capital Advisors, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Ernst & Young Capital Advisors, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (11 here).
Read with this firm
- ADP Broker-Dealer, Inc. (NJ) - 0.00 disclosures/office, nearest regional firm peer to Ernst & Young Capital Advisors, LLC's 0.00
- AE Financial Services, LLC (KS) - 0.00 disclosures/office, nearest regional firm peer to Ernst & Young Capital Advisors, LLC's 0.00
- American Global Wealth Management, Inc. (GA) - 0.00 disclosures/office, nearest regional firm peer to Ernst & Young Capital Advisors, LLC's 0.00
- Firms in NY - state roster that includes Ernst & Young Capital Advisors, LLC's registration home.
- How to Vet a Financial Advisor - Use Ernst & Young Capital Advisors, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Ernst & Young Capital Advisors, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Ernst & Young Capital Advisors, LLC.
- Compare firms - put Ernst & Young Capital Advisors, 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.