CRD #2692 · FINRA BrokerCheck + SEC IAPD

UBS Capital Markets L.P.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Capital Markets L.P. ranks #223 of 20,055 by disclosure count (most disclosures first). UBS Capital Markets L.P. carries 27 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
27
disclosures
#223 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2692 UBS Capital Markets L.P.

UBS Capital Markets L.P. · Grade F · 27 disc · 27.00/office · Single-office firm

  • CRD 2692
  • GRADE F
  • DISC 27
  • REG 27
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #223 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Black & Company, Inc. (27.00 disc/office)

Black & Company, Inc.27.00Continental Broker-Deal…27.00J. P. Gibbons & Co., Inc.27.00UBS Capital Markets… (this)27.00
Disclosures per office among single-office firm peers (lower is cleaner)

UBS Capital Markets L.P. ranks #223 of 20,055 by disclosure count among graded broker-dealers; heavy load at 27.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

27 events

On FINRA BrokerCheck

Regulatory events

27 actions

100% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 27
Arbitrations 0
Civil Events 0
Total 27

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

Disclosure category share

Regulatory 27 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
01/28/2000
State of Formation
New Jersey
CRD Number
2692
SEC Number
13535

Regulator-heavy mix

UBS Capital Markets L.P. in the heavier-disclosure third

UBS Capital Markets L.P. carries 27 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#223 of 20,055). Regulator-initiated events are 100% of the book (27 regulatory / 0 arbitration / 0 civil).

100% of UBS Capital Markets L.P.'s 27 disclosures are regulator-initiated (27 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does UBS Capital Markets L.P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Capital Markets L.P. ranks #223 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 F mean for UBS Capital Markets L.P.?
A grade of F reflects UBS Capital Markets L.P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 27 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UBS Capital Markets L.P. have?
UBS Capital Markets L.P. has 27 total FINRA disclosures, including 27 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UBS Capital Markets L.P.?
UBS Capital Markets L.P. 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 UBS Capital Markets L.P.'s disciplinary record?
You can verify UBS Capital Markets L.P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2692. 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). UBS Capital Markets L.P.'s 27 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid UBS Capital Markets L.P. 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. UBS Capital Markets L.P. carries 27 disclosures across 0 branch offices (about 27.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD 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. Data current as of July 2026.