CRD #130672 · FINRA BrokerCheck + SEC IAPD

Pickwick Capital Partners, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pickwick Capital Partners, LLC ranks #15,613 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #718 of 868 on the same disclosure sort used on the state browse page. Pickwick Capital Partners, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 11 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
11
branch offices
0
disclosures
#15,613 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 130672 Pickwick Capital Partners, LLC

Pickwick Capital Partners, LLC · Grade A · 0 disc · 0.00/office · Regional firm

  • CRD 130672
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.00
  • RANK #15,613 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)

ADP Broker-Dealer, Inc.0.00AE Financial Services, LLC0.00American Global Wealth …0.00Pickwick Capital Pa… (this)0.00
Disclosures per office among regional firm peers (lower is cleaner)

Pickwick Capital Partners, LLC ranks #15,613 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

Branch offices

11 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

0.00 per office

0 ÷ 11 offices

Clean disclosure surface

Pickwick Capital Partners, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 11 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
White Plains, NY, 10601
Formed
08/21/2007
State of Formation
Delaware
CRD Number
130672
SEC Number
66373

Clean BrokerCheck surface

Pickwick Capital Partners, LLC's clean BrokerCheck surface

Pickwick Capital Partners, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 11 branch offices (Grade A).

Pickwick Capital Partners, LLC shows zero reportable disclosures across 11 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Pickwick Capital Partners, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

New York cohort · 0.00× state average

Pickwick Capital Partners, LLC sits below the New York disclosure average

Pickwick Capital Partners, LLC reports 0 BrokerCheck disclosures, 0.00× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Pickwick Capital Partners, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pickwick Capital Partners, LLC ranks #15,613 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #718 of 868 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 Pickwick Capital Partners, LLC?
A grade of A means Pickwick Capital Partners, 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 Pickwick Capital Partners, LLC have?
Pickwick Capital Partners, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pickwick Capital Partners, LLC?
Pickwick Capital Partners, LLC operates 11 branch offices and is classified by FINRA as a small firm, registered in NY (Regional 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 Pickwick Capital Partners, LLC's disciplinary record?
You can verify Pickwick Capital Partners, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 130672. 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. Pickwick Capital Partners, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Pickwick Capital Partners, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.