Branch offices
2 offices
FINRA: Small firm
CRD #108486 · FINRA BrokerCheck + SEC IAPD
Mallory Capital Group, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mallory Capital Group, LLC ranks #13,649 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #78 of 111 on the same disclosure sort used on the state browse page. Mallory Capital Group, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #13,649 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 108486 Mallory Capital Group, LLC
Mallory Capital Group, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 108486
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #13,649 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Mallory Capital Group, LLC ranks #13,649 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - 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
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Clean disclosure surface
Mallory Capital Group, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Darien, CT
- CRD Number
- 108486
Clean BrokerCheck surface
Mallory Capital Group, LLC's clean BrokerCheck surface
Mallory Capital Group, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Mallory Capital Group, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Mallory Capital Group, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Connecticut cohort · 0.00× state average
Mallory Capital Group, LLC sits below the Connecticut disclosure average
Mallory Capital Group, LLC reports 0 BrokerCheck disclosures, 0.00× the Connecticut average of 3.5, lighter than most of the 111 graded firms filed there.
In Connecticut, 76 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Connecticut state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Mallory Capital Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mallory Capital Group, LLC ranks #13,649 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #78 of 111 on the same disclosure sort used on the state browse page. 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 A mean for Mallory Capital Group, LLC?
A grade of A means Mallory Capital Group, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Mallory Capital Group, LLC have?
Mallory Capital Group, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mallory Capital Group, LLC?
Mallory Capital Group, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in CT (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 Mallory Capital Group, LLC's disciplinary record?
You can verify Mallory Capital Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 108486. 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 BrokerCheck record. Mallory Capital Group, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Mallory Capital Group, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Mallory Capital Group, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Mallory Capital Group, LLC's 0.00
- Firms in CT - state roster that includes Mallory Capital Group, LLC's registration home.
- How to Vet a Financial Advisor - Use Mallory Capital Group, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Mallory Capital Group, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Mallory Capital Group, LLC.
- Compare firms - put Mallory Capital Group, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.