Branch offices
0 offices
FINRA: Small firm
CRD #6124 · FINRA BrokerCheck + SEC IAPD
First Union Capital Markets Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Union Capital Markets Corp. ranks #267 of 20,055 by disclosure count (most disclosures first). First Union Capital Markets Corp. carries 22 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 22
- disclosures
- #267 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 6124 First Union Capital Markets Corp.
First Union Capital Markets Corp. · Grade F · 22 disc · 22.00/office · Single-office firm
- CRD 6124
- GRADE F
- DISC 22
- REG 19
- ARB 3
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #267 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Ameritrade Northwest, Inc. (22.00 disc/office)
First Union Capital Markets Corp. ranks #267 of 20,055 by disclosure count among graded broker-dealers; heavy load at 22.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
22 events
On FINRA BrokerCheck
Regulatory events
19 actions
86% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 19 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 22 |
Counts for First Union Capital Markets Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 19 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 6124
Regulator-heavy mix
First Union Capital Markets Corp. in the heavier-disclosure third
First Union Capital Markets Corp. carries 22 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#267 of 20,055). Regulator-initiated events are 86% of the book (19 regulatory / 3 arbitration / 0 civil).
86% of First Union Capital Markets Corp.'s 22 disclosures are regulator-initiated (19 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of First Union Capital Markets Corp.'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 First Union Capital Markets Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Union Capital Markets Corp. ranks #267 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 F mean for First Union Capital Markets Corp.?
A grade of F reflects First Union Capital Markets Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 22 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Union Capital Markets Corp. have?
First Union Capital Markets Corp. has 22 total FINRA disclosures, including 19 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Union Capital Markets Corp.?
First Union Capital Markets Corp. 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 First Union Capital Markets Corp.'s disciplinary record?
You can verify First Union Capital Markets Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6124. 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). First Union Capital Markets Corp.'s 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid First Union Capital Markets Corp. 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. First Union Capital Markets Corp. carries 22 disclosures across 0 branch offices (about 22.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Ameritrade Northwest, Inc. - 22.00 disclosures/office, nearest single-office firm peer to First Union Capital Markets Corp.'s 22.00
- Canaccord Genuity Securities LLC - 22.00 disclosures/office, nearest single-office firm peer to First Union Capital Markets Corp.'s 22.00
- Consolidated Trading LLC (IL) - 22.00 disclosures/office, nearest single-office firm peer to First Union Capital Markets Corp.'s 22.00
- Red Flags in Advisor Records - How to read First Union Capital Markets Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 22 disclosures behind First Union Capital Markets Corp.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as First Union Capital Markets Corp..
- Compare firms - put First Union Capital Markets Corp. 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.