Branch offices
0 offices
FINRA: Small firm
CRD #30613 · FINRA BrokerCheck + SEC IAPD
Investors Capital Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Investors Capital Corp. ranks #165 of 20,055 by disclosure count (most disclosures first). Investors Capital Corp. carries 33 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 33
- disclosures
- #165 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 30613 Investors Capital Corp.
Investors Capital Corp. · Grade F · 33 disc · 33.00/office · Single-office firm
- CRD 30613
- GRADE F
- DISC 33
- REG 22
- ARB 11
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #165 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Bluestone Capital Corp. (33.00 disc/office)
Investors Capital Corp. ranks #165 of 20,055 by disclosure count among graded broker-dealers; heavy load at 33.00 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
33 events
On FINRA BrokerCheck
Regulatory events
22 actions
67% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 22 |
| Arbitrations | 11 |
| Civil Events | 0 |
| Total | 33 |
Counts for Investors Capital Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 22 Arbitration 11 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 07/06/1992
- State of Formation
- Massachusetts
- CRD Number
- 30613
- SEC Number
- 45054
Heavy disclosure book
Investors Capital Corp. in the heavier-disclosure third
Investors Capital Corp. carries 33 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#165 of 20,055). Regulator-initiated events are 67% of the book (22 regulatory / 11 arbitration / 0 civil).
Investors Capital Corp. ranks #165 of 20,055 by BrokerCheck disclosure count among graded firms (33 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Investors Capital 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 Investors Capital Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Investors Capital Corp. ranks #165 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 Investors Capital Corp.?
A grade of F reflects Investors Capital Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 33 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Investors Capital Corp. have?
Investors Capital Corp. has 33 total FINRA disclosures, including 22 regulatory events, 11 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Investors Capital Corp.?
Investors Capital 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 Investors Capital Corp.'s disciplinary record?
You can verify Investors Capital Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 30613. 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). Investors Capital Corp.'s 33 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Investors Capital 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. Investors Capital Corp. carries 33 disclosures across 0 branch offices (about 33.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Bluestone Capital Corp. - 33.00 disclosures/office, nearest single-office firm peer to Investors Capital Corp.'s 33.00
- GKN Securities Corp. - 33.00 disclosures/office, nearest single-office firm peer to Investors Capital Corp.'s 33.00
- Optionsxpress, Inc. - 33.00 disclosures/office, nearest single-office firm peer to Investors Capital Corp.'s 33.00
- Red Flags in Advisor Records - How to read Investors Capital Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 33 disclosures behind Investors Capital Corp.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Investors Capital Corp..
- Compare firms - put Investors Capital 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.