Branch offices
3 offices
FINRA: Small firm
CRD #156441 · FINRA BrokerCheck + SEC IAPD
SMI Capital Markets LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SMI Capital Markets LLC ranks #17,433 of 20,055 by disclosure count (most disclosures first). Among firms registered in WA, it ranks #25 of 29 on the same disclosure sort used on the state browse page. SMI Capital Markets LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 3 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 3
- branch offices
- 0
- disclosures
- #17,433 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 156441 SMI Capital Markets LLC
SMI Capital Markets LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 156441
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 3
- PER-OFF 0.00
- RANK #17,433 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
SMI Capital Markets LLC ranks #17,433 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
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 3 offices
Clean disclosure surface
SMI Capital Markets LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 3 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Bellevue, WA
- CRD Number
- 156441
Clean BrokerCheck surface
SMI Capital Markets LLC's clean BrokerCheck surface
SMI Capital Markets LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 3 branch offices (Grade A).
SMI Capital Markets LLC shows zero reportable disclosures across 3 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of SMI Capital Markets LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Washington cohort · 0.00× state average
SMI Capital Markets LLC sits below the Washington disclosure average
SMI Capital Markets LLC reports 0 BrokerCheck disclosures, 0.00× the Washington average of 1.3, lighter than most of the 29 graded firms filed there.
In Washington, 17 firms carry Grade A and 0 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 Washington state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does SMI Capital Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, SMI Capital Markets LLC ranks #17,433 of 20,055 by disclosure count (most disclosures first). Among firms registered in WA, it ranks #25 of 29 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 SMI Capital Markets LLC?
A grade of A means SMI Capital Markets 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 SMI Capital Markets LLC have?
SMI Capital Markets LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is SMI Capital Markets LLC?
SMI Capital Markets LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in WA (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 SMI Capital Markets LLC's disciplinary record?
You can verify SMI Capital Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 156441. 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. SMI Capital Markets LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to SMI Capital Markets LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to SMI Capital Markets LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to SMI Capital Markets LLC's 0.00
- Firms in WA - state roster that includes SMI Capital Markets LLC's registration home.
- How to Vet a Financial Advisor - Use SMI Capital Markets LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like SMI Capital Markets LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside SMI Capital Markets LLC.
- Compare firms - put SMI Capital Markets 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.