Branch offices
0 offices
FINRA: Small firm
CRD #14623 · FINRA BrokerCheck + SEC IAPD
Ladenburg Capital Management Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ladenburg Capital Management Inc. ranks #240 of 20,055 by disclosure count (most disclosures first). Ladenburg Capital Management Inc. carries 25 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 25
- disclosures
- #240 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 14623 Ladenburg Capital Management Inc.
Ladenburg Capital Management Inc. · Grade F · 25 disc · 25.00/office · Single-office firm
- CRD 14623
- GRADE F
- DISC 25
- REG 11
- ARB 14
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #240 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Aragon Financial Services, Inc. (25.00 disc/office)
Ladenburg Capital Management Inc. ranks #240 of 20,055 by disclosure count among graded broker-dealers; heavy load at 25.00 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
25 events
On FINRA BrokerCheck
Regulatory events
11 actions
44% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 11 |
| Arbitrations | 14 |
| Civil Events | 0 |
| Total | 25 |
Counts for Ladenburg Capital Management Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 11 Arbitration 14 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 14623
Heavy disclosure book
Ladenburg Capital Management Inc. in the heavier-disclosure third
Ladenburg Capital Management Inc. carries 25 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#240 of 20,055). Mix is 11 regulatory, 14 arbitration, and 0 civil (44% regulator share).
Ladenburg Capital Management Inc. ranks #240 of 20,055 by BrokerCheck disclosure count among graded firms (25 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ladenburg Capital Management Inc.'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 Ladenburg Capital Management Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ladenburg Capital Management Inc. ranks #240 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 Ladenburg Capital Management Inc.?
A grade of F reflects Ladenburg Capital Management Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 25 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ladenburg Capital Management Inc. have?
Ladenburg Capital Management Inc. has 25 total FINRA disclosures, including 11 regulatory events, 14 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ladenburg Capital Management Inc.?
Ladenburg Capital Management Inc. 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 Ladenburg Capital Management Inc.'s disciplinary record?
You can verify Ladenburg Capital Management Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14623. 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). Ladenburg Capital Management Inc.'s 25 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Ladenburg Capital Management 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. Ladenburg Capital Management Inc. carries 25 disclosures across 0 branch offices (about 25.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Aragon Financial Services, Inc. - 25.00 disclosures/office, nearest single-office firm peer to Ladenburg Capital Management Inc.'s 25.00
- Essex Radez LLC - 25.00 disclosures/office, nearest single-office firm peer to Ladenburg Capital Management Inc.'s 25.00
- First Liberty Investment Group, Inc. - 25.00 disclosures/office, nearest single-office firm peer to Ladenburg Capital Management Inc.'s 25.00
- Red Flags in Advisor Records - How to read Ladenburg Capital Management Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 25 disclosures behind Ladenburg Capital Management Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Ladenburg Capital Management Inc..
- Compare firms - put Ladenburg Capital Management Inc. 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.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.