Branch offices
3 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #140864 · FINRA BrokerCheck + SEC IAPD
Tayan Capital Management, LLC
Tayan Capital Management, LLC has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 3
- branch offices
PlainAdvisorCheck rating n/a - 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
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure Profile
Tayan Capital Management, LLC's disclosure record, broken down by category and footprint.
Disclosures per office
0.00
Clean record
Regulatory share
0%
of total disclosures
Size class
Small firm
3 branches
Firm Details
- Firm Size
- Small
- CRD Number
- 140864
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Tayan Capital Management, LLC
Tayan Capital Management, LLC (broker-dealer, CRD# 140864) operates 3 branch offices - a small firm (FINRA: small), scope not reported.
BrokerCheck shows 0 disclosures as of July 2026 (about 0.00 per branch office): 0 regulatory, 0 arbitration, 0 civil. Letter grade N/A. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing, it can range from a settled customer dispute to a formal regulatory sanction, but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of N/A mean for Tayan Capital Management, LLC?
Tayan Capital Management, LLC has not yet been graded by PlainAdvisorCheck. Grades are size-normalized against FINRA BrokerCheck disclosure records once a firm's detail record has been reviewed -- check back soon, or view the live record on FINRA BrokerCheck.
How many FINRA disclosures does Tayan Capital Management, LLC have?
PlainAdvisorCheck has not yet pulled Tayan Capital Management, LLC's detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 140864.
How big is Tayan Capital Management, LLC?
Tayan Capital Management, LLC operates 3 branch offices and is classified by FINRA as a small firm (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 Tayan Capital Management, LLC's disciplinary record?
You can verify Tayan Capital Management, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 140864. 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.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Tayan Capital Management, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Tayan Capital Management, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Tayan Capital Management, LLC's 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like Tayan Capital Management, LLC.
- Reading BrokerCheck Reports - How Tayan Capital Management, LLC's 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to Tayan Capital Management, LLC.
- Compare firms - put Tayan Capital Management, LLC next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.