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

FINRA BrokerCheck SEC IAPD verified CRD# 17708 Grade C

Houlihan Lokey Capital, Inc. — FINRA BrokerCheck Disciplinary Record

Corporation headquartered in Los Angeles, CA. 14 branch offices, 2 BrokerCheck disclosures.

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Houlihan Lokey Capital, Inc. registration status — ACTIVE

Status100%ActiveTerminatedSuspendedCancelled
Houlihan Lokey Capital, Inc. registration status — ACTIVE

The verdict

Houlihan Lokey Capital, Inc. carries 2 BrokerCheck disclosures across 14 branch offices - light load for a mid-sized firm, earning a Grade C.

Grade C
Typical disclosure intensity for a firm of this size, review the underlying records.
14
branch offices (mid-sized firm)
2
BrokerCheck disclosures
0.14
disclosures per office

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.

Branch offices

14 offices

FINRA: Large firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

0.14 per office

2 ÷ 14 offices

Houlihan Lokey Capital, Inc. 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 85% of 438 disclosing firms

0–0: 97 disclosing firms (22%). This entry sits in this band. 0–1: 53 disclosing firms (12%). Above this entry. 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 2
Arbitrations 0
Civil Events 0
Total 2

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

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Disclosure Profile

Houlihan Lokey Capital, Inc.'s disclosure record, broken down by category and footprint.

Disclosures per office
0.14
Light load
Regulatory share
100%
of total disclosures
Size class
Mid-sized firm
14 branches

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Los Angeles, CA, 90067
Formed
01/09/1996
State of Formation
California
CRD Number
17708
SEC Number
35643

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 Houlihan Lokey Capital, Inc.

Houlihan Lokey Capital, Inc. (Corporation, CRD# 17708 · SEC# 35643 · Los Angeles, CA) operates 14 branch offices — a mid-sized firm (FINRA: large), scope ACTIVE.

BrokerCheck shows 2 disclosures (about 0.14 per branch office): 2 regulatory, 0 arbitration, 0 civil. Letter grade C (3/5 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.

View all firms in CA →

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

Frequently Asked Questions

What does a grade of C mean for Houlihan Lokey Capital, Inc.?
A grade of C reflects Houlihan Lokey Capital, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 2 total disclosures across 14 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Houlihan Lokey Capital, Inc. have?
Houlihan Lokey Capital, 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 Houlihan Lokey Capital, Inc.?
Houlihan Lokey Capital, Inc. operates 14 branch offices and is classified by FINRA as a large firm, registered in CA (Mid-sized 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 Houlihan Lokey Capital, Inc.'s disciplinary record?
You can verify Houlihan Lokey Capital, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17708. 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 Houlihan Lokey Capital, 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. Houlihan Lokey Capital, Inc. carries 2 disclosures across 14 branch offices (about 0.14 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