Branch offices
0 offices
FINRA: Small firm
CRD #142485 · FINRA BrokerCheck + SEC IAPD
Rockwell Global Capital LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rockwell Global Capital LLC ranks #911 of 20,055 by disclosure count (most disclosures first). Rockwell Global Capital LLC carries 8 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 8
- disclosures
- #911 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 142485 Rockwell Global Capital LLC
Rockwell Global Capital LLC · Grade C · 8 disc · 8.00/office · Single-office firm
- CRD 142485
- GRADE C
- DISC 8
- REG 1
- ARB 7
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #911 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Abel/Noser Corp. (8.00 disc/office)
Rockwell Global Capital LLC ranks #911 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
8 events
On FINRA BrokerCheck
Regulatory events
1 action
13% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 1 |
| Arbitrations | 7 |
| Civil Events | 0 |
| Total | 8 |
Counts for Rockwell Global Capital LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 1 Arbitration 7 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 142485
Customer-facing mix
Rockwell Global Capital LLC in the heavier-disclosure third
Rockwell Global Capital LLC carries 8 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#911 of 20,055). Customer-facing events dominate: 7 arbitration and 0 civil versus 1 regulatory (13% regulator share).
Only 13% of Rockwell Global Capital LLC's disclosures are regulator-initiated; arbitrations (7) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Rockwell Global Capital LLC'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 Rockwell Global Capital LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rockwell Global Capital LLC ranks #911 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 C mean for Rockwell Global Capital LLC?
A grade of C reflects Rockwell Global Capital LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 8 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Rockwell Global Capital LLC have?
Rockwell Global Capital LLC has 8 total FINRA disclosures, including 1 regulatory event, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rockwell Global Capital LLC?
Rockwell Global Capital LLC 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 Rockwell Global Capital LLC's disciplinary record?
You can verify Rockwell Global Capital LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 142485. 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). Rockwell Global Capital LLC's 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Rockwell Global Capital LLC 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. Rockwell Global Capital LLC carries 8 disclosures across 0 branch offices (about 8.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Abel/Noser Corp. - 8.00 disclosures/office, nearest single-office firm peer to Rockwell Global Capital LLC's 8.00
- Agency Trading Group, Inc. - 8.00 disclosures/office, nearest single-office firm peer to Rockwell Global Capital LLC's 8.00
- Ages Financial Services, Ltd. - 8.00 disclosures/office, nearest single-office firm peer to Rockwell Global Capital LLC's 8.00
- Red Flags in Advisor Records - How to read Rockwell Global Capital LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 8 disclosures behind Rockwell Global Capital LLC's Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Rockwell Global Capital LLC.
- Compare firms - put Rockwell Global Capital LLC 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.