CRD #2739 · FINRA BrokerCheck + SEC IAPD

Scotia Capital (USA) Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Scotia Capital (USA) Inc. ranks #793 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #89 of 868 on the same disclosure sort used on the state browse page. Scotia Capital (USA) Inc. carries 9 BrokerCheck disclosures across 11 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
11
branch offices
9
disclosures
#793 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2739 Scotia Capital (USA) Inc.

Scotia Capital (USA) Inc. · Grade C · 9 disc · 0.82/office · Regional firm

  • CRD 2739
  • GRADE C
  • DISC 9
  • REG 9
  • ARB 0
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.82
  • RANK #793 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Brighton Securities Corp. (0.80 disc/office)

Brighton Securities Corp.0.80VAN Clemens & Co. Incor…0.80Nationwide Securities, LLC0.87Scotia Capital (USA… (this)0.82
Disclosures per office among regional firm peers (lower is cleaner)

Scotia Capital (USA) Inc. ranks #793 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.82 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

Branch offices

11 offices

FINRA: Large firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

9 actions

100% of all disclosures

Disclosures per office

0.82 per office

9 ÷ 11 offices

Scotia Capital (USA) Inc. vs. every disclosing firm

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

1 a cleaner per-office record than 36% 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%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 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 9
Arbitrations 0
Civil Events 0
Total 9

Counts for Scotia Capital (USA) Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 9 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10281
Formed
11/25/1939
State of Formation
New York
CRD Number
2739
SEC Number
3716

Regulator-heavy mix

Scotia Capital (USA) Inc. in the heavier-disclosure third

Scotia Capital (USA) Inc. carries 9 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#793 of 20,055). Regulator-initiated events are 100% of the book (9 regulatory / 0 arbitration / 0 civil).

100% of Scotia Capital (USA) Inc.'s 9 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.03× state average

Scotia Capital (USA) Inc. tracks near the New York disclosure average

Scotia Capital (USA) Inc. reports 9 BrokerCheck disclosures, about 1.03× the New York average of 8.7 across 868 graded firms.

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 Scotia Capital (USA) Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Scotia Capital (USA) Inc. ranks #793 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #89 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 C mean for Scotia Capital (USA) Inc.?
A grade of C reflects Scotia Capital (USA) Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 9 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Scotia Capital (USA) Inc. have?
Scotia Capital (USA) Inc. has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Scotia Capital (USA) Inc.?
Scotia Capital (USA) Inc. operates 11 branch offices and is classified by FINRA as a large 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 Scotia Capital (USA) Inc.'s disciplinary record?
You can verify Scotia Capital (USA) Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2739. 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). Scotia Capital (USA) Inc.'s 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Scotia Capital (USA) 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. Scotia Capital (USA) Inc. carries 9 disclosures across 11 branch offices (about 0.82 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Scotia Capital (USA) Inc., 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 - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.