Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

CRD #45716 · FINRA BrokerCheck + SEC IAPD

Thor Capital LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thor Capital LLC ranks #3,246 of 20,055 by disclosure count (most disclosures first). Thor Capital LLC carries 2 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade B.

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Grade B
Safety grade
0
branch offices
2
disclosures
#3,246 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 45716 Thor Capital LLC

Thor Capital LLC · Grade B · 2 disc · 2.00/office · Single-office firm

  • CRD 45716
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #3,246 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Abramenko & Company, Inc. (2.00 disc/office)

Abramenko & Company, Inc.2.00Abshier Webb Donnelly &…2.00ABW Trading, LLC2.00Thor Capital LLC (this)2.00
Disclosures per office among single-office firm peers (lower is cleaner)

Thor Capital LLC ranks #3,246 of 20,055 by disclosure count among graded broker-dealers; heavy load at 2.00 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

0 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 0
Civil Events 0
Total 2

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
06/18/1998
State of Formation
Delaware
CRD Number
45716
SEC Number
51141

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 Thor Capital LLC

Thor Capital LLC (Limited Liability Company, CRD# 45716 · SEC# 51141) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.

BrokerCheck shows 2 disclosures as of July 2026: 2 regulatory (100%), 0 arbitration, 0 civil. Letter grade B (4/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Thor Capital LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thor Capital LLC ranks #3,246 of 20,055 by disclosure count (most disclosures first). 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 Thor Capital LLC?
A grade of B reflects Thor Capital LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 2 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Thor Capital LLC have?
Thor Capital LLC has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Thor Capital LLC?
Thor Capital LLC operates 0 branch offices and is classified by FINRA as a small firm (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 Thor Capital LLC's disciplinary record?
You can verify Thor Capital LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 45716. 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 Thor Capital 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. Thor Capital LLC carries 2 disclosures across 0 branch offices (about 2.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

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.