CRD #121430 · FINRA BrokerCheck + SEC IAPD

Smith Capital Markets, LLC.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith Capital Markets, LLC. ranks #4,781 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #75 of 189 on the same disclosure sort used on the state browse page. Smith Capital Markets, LLC. carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#4,781 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 121430 Smith Capital Markets, LLC.

Smith Capital Markets, LLC. · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 121430
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #4,781 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50Smith Capital Marke… (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

Smith Capital Markets, LLC. ranks #4,781 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

Smith Capital Markets, LLC. 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 44% 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%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 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 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Smith Capital Markets, LLC. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Dallas, TX
CRD Number
121430

Regulator-heavy mix

Smith Capital Markets, LLC. in the heavier-disclosure third

Smith Capital Markets, LLC. carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#4,781 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Smith Capital Markets, LLC.'s 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Smith Capital Markets, LLC.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 0.25× state average

Smith Capital Markets, LLC. sits below the Texas disclosure average

Smith Capital Markets, LLC. reports 1 BrokerCheck disclosure, 0.25× the Texas average of 4.0, lighter than most of the 189 graded firms filed there.

In Texas, 110 firms carry Grade A and 1 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 Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Smith Capital Markets, LLC. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Smith Capital Markets, LLC. ranks #4,781 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #75 of 189 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 B mean for Smith Capital Markets, LLC.?
A grade of B reflects Smith Capital Markets, LLC.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Smith Capital Markets, LLC. have?
Smith Capital Markets, LLC. has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Smith Capital Markets, LLC.?
Smith Capital Markets, LLC. operates 2 branch offices and is classified by FINRA as a small firm, registered in TX (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 Smith Capital Markets, LLC.'s disciplinary record?
You can verify Smith Capital Markets, LLC.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 121430. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Smith Capital Markets, 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. Smith Capital Markets, LLC. carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to Smith Capital Markets, LLC.'s 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to Smith Capital Markets, LLC.'s 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to Smith Capital Markets, LLC.'s 0.50
  • Firms in TX - state roster that includes Smith Capital Markets, LLC.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Smith Capital Markets, LLC..
  • Reading BrokerCheck Reports - How Smith Capital Markets, LLC.'s 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Smith Capital Markets, LLC..
  • Compare firms - put Smith Capital Markets, 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.