CRD #168274 · FINRA BrokerCheck + SEC IAPD

Rose & Co. Capital Advisors, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rose & Co. Capital Advisors, LLC ranks #16,647 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #757 of 868 on the same disclosure sort used on the state browse page. Rose & Co. Capital Advisors, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 1 branch office, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
1
branch office
0
disclosures
#16,647 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 168274 Rose & Co. Capital Advisors, LLC

Rose & Co. Capital Advisors, LLC · Grade A · 0 disc · 0.00/office · Single-office firm

  • CRD 168274
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 0.00
  • RANK #16,647 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)

1-800 NO Loads, Inc.0.001031 Exchange Place, Inc.0.0010X Securities0.00Rose & Co. Capital … (this)0.00
Disclosures per office among single-office firm peers (lower is cleaner)

Rose & Co. Capital Advisors, LLC ranks #16,647 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

1 office

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 ÷ 1 offices

Clean disclosure surface

Rose & Co. Capital Advisors, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 1 branch office (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
168274

Clean BrokerCheck surface

Rose & Co. Capital Advisors, LLC's clean BrokerCheck surface

Rose & Co. Capital Advisors, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 1 branch office (Grade A).

Rose & Co. Capital Advisors, LLC shows zero reportable disclosures across 1 branch office in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 0.00× state average

Rose & Co. Capital Advisors, LLC sits below the New York disclosure average

Rose & Co. Capital Advisors, 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 Rose & Co. Capital Advisors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rose & Co. Capital Advisors, LLC ranks #16,647 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #757 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 Rose & Co. Capital Advisors, LLC?
A grade of A means Rose & Co. Capital Advisors, 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 Rose & Co. Capital Advisors, LLC have?
Rose & Co. Capital Advisors, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rose & Co. Capital Advisors, LLC?
Rose & Co. Capital Advisors, LLC operates 1 branch office and is classified by FINRA as a small firm, registered in NY (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 Rose & Co. Capital Advisors, LLC's disciplinary record?
You can verify Rose & Co. Capital Advisors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 168274. 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. Rose & Co. Capital Advisors, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Read with this firm

  • 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Rose & Co. Capital Advisors, LLC's 0.00
  • 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Rose & Co. Capital Advisors, LLC's 0.00
  • 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Rose & Co. Capital Advisors, LLC's 0.00
  • Firms in NY - state roster that includes Rose & Co. Capital Advisors, LLC's registration home.
  • How to Vet a Financial Advisor - Use Rose & Co. Capital Advisors, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like Rose & Co. Capital Advisors, LLC's does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Rose & Co. Capital Advisors, LLC.
  • Compare firms - put Rose & Co. Capital Advisors, 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.