Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

FINRA BrokerCheck SEC IAPD verified CRD# 38105 Grade B

FMN Capital Corporation — FINRA BrokerCheck Disciplinary Record

Corporation headquartered in Mission Viejo, CA. 4 branch offices, 1 BrokerCheck disclosure.

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FMN Capital Corporation registration status — ACTIVE

Status100%ActiveTerminatedSuspendedCancelled
FMN Capital Corporation registration status — ACTIVE

The verdict

FMN Capital Corporation carries 1 BrokerCheck disclosure across 4 branch offices — moderate load for a small firm, earning a Grade B.

Grade B
Low disclosure intensity relative to firms of a similar size.
4
branch offices (small firm)
1
BrokerCheck disclosure
0.25
disclosures per office

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.

Branch offices

4 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.25 per office

1 ÷ 4 offices

FMN Capital Corporation vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 76% of 438 disclosing firms

0–0: 97 disclosing firms (22%). Below this entry. 0–1: 53 disclosing firms (12%). This entry sits in this band. 1–1: 116 disclosing firms (26%). Above this entry. 1–1: 14 disclosing firms (3%). Above this entry. 1–1: 41 disclosing firms (9%). Above this entry. 1–2: 8 disclosing firms (2%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–2: 4 disclosing firms (1%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–3: 5 disclosing firms (1%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–3: 2 disclosing firms (0%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–4: 3 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (1%). Above this entry. 4–4: 1 disclosing firms (0%). Above this entry. 4–4: 4 disclosing firms (1%). Above this entry. 4–5: 1 disclosing firms (0%). 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 1
Arbitrations 0
Civil Events 0
Total 1

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Disclosure Profile

FMN Capital Corporation's disclosure record, broken down by category and footprint.

Disclosures per office
0.25
Moderate load
Regulatory share
100%
of total disclosures
Size class
Small firm
4 branches

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Mission Viejo, CA, 92691
Formed
01/31/1995
State of Formation
California
CRD Number
38105
SEC Number
48082

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About FMN Capital Corporation

FMN Capital Corporation (Corporation, CRD# 38105 · SEC# 48082 · Mission Viejo, CA) operates 4 branch offices — a small firm (FINRA: small), scope ACTIVE.

BrokerCheck shows 1 disclosure (about 0.25 per branch office): 1 regulatory, 0 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

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Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of B mean for FMN Capital Corporation?
A grade of B reflects FMN Capital Corporation's disclosure intensity — its weighted disclosure load per branch office — ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does FMN Capital Corporation have?
FMN Capital Corporation has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is FMN Capital Corporation?
FMN Capital Corporation operates 4 branch offices and is classified by FINRA as a small firm, registered in CA (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 FMN Capital Corporation's disciplinary record?
You can verify FMN Capital Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 38105. 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 FMN Capital Corporation 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. FMN Capital Corporation carries 1 disclosure across 4 branch offices (about 0.25 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial