CRD #7360 · FINRA BrokerCheck + SEC IAPD

OLD Slip Capital Management, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, OLD Slip Capital Management, Inc. ranks #2,309 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #39 of 189 on the same disclosure sort used on the state browse page. OLD Slip Capital Management, Inc. carries 3 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
3
disclosures
#2,309 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7360 OLD Slip Capital Management, Inc.

OLD Slip Capital Management, Inc. · Grade B · 3 disc · 1.50/office · Small firm

  • CRD 7360
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.50
  • RANK #2,309 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: ACS Execution Services, LLC (1.50 disc/office)

ACS Execution Services,…1.50Allied Millennial Partn…1.50ANZ Securities, Inc.1.50OLD Slip Capital Ma… (this)1.50
Disclosures per office among small firm peers (lower is cleaner)

OLD Slip Capital Management, Inc. ranks #2,309 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.50 disclosures per office. Verify on FINRA BrokerCheck →

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.

Data updated July 2026

Branch offices

2 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

1.50 per office

3 ÷ 2 offices

OLD Slip Capital Management, Inc. vs. every disclosing firm

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

2 a cleaner per-office record than 17% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). This entry sits in this band. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). 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 3
Arbitrations 0
Civil Events 0
Total 3

Counts for OLD Slip Capital Management, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Plano, TX
CRD Number
7360

Regulator-heavy mix

OLD Slip Capital Management, Inc. in the heavier-disclosure third

OLD Slip Capital Management, Inc. carries 3 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#2,309 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of OLD Slip Capital Management, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of OLD Slip Capital Management, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 0.74× state average

OLD Slip Capital Management, Inc. tracks near the Texas disclosure average

OLD Slip Capital Management, Inc. reports 3 BrokerCheck disclosures, about 0.74× the Texas average of 4.0 across 189 graded firms.

In Texas, 110 firms carry Grade A and 1 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 Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does OLD Slip Capital Management, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, OLD Slip Capital Management, Inc. ranks #2,309 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #39 of 189 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 B mean for OLD Slip Capital Management, Inc.?
A grade of B reflects OLD Slip Capital Management, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 3 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does OLD Slip Capital Management, Inc. have?
OLD Slip Capital Management, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is OLD Slip Capital Management, Inc.?
OLD Slip Capital Management, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in TX (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 OLD Slip Capital Management, Inc.'s disciplinary record?
You can verify OLD Slip Capital Management, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7360. 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 BrokerCheck. For OLD Slip Capital Management, Inc., the 1.50 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid OLD Slip 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. OLD Slip Capital Management, Inc. carries 3 disclosures across 2 branch offices (about 1.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • ACS Execution Services, LLC (NJ) - 1.50 disclosures/office, nearest small firm peer to OLD Slip Capital Management, Inc.'s 1.50
  • Allied Millennial Partners, LLC (NY) - 1.50 disclosures/office, nearest small firm peer to OLD Slip Capital Management, Inc.'s 1.50
  • ANZ Securities, Inc. (NY) - 1.50 disclosures/office, nearest small firm peer to OLD Slip Capital Management, Inc.'s 1.50
  • Firms in TX - state roster that includes OLD Slip Capital Management, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read OLD Slip Capital Management, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 3 disclosures behind OLD Slip Capital Management, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as OLD Slip Capital Management, Inc..
  • Compare firms - put OLD Slip 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.