Registered advisors
1 advisors
Small firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 40980 Grade F
UNITED CAPITAL MARKETS, INC. — FINRA BrokerCheck Disciplinary Record
Corporation headquartered in MIAMI, FL. 1 registered advisor, 200.0% disclosure rate.
UNITED CAPITAL MARKETS, INC. registration status — ACTIVE
Total disclosures
2 events
On FINRA BrokerCheck
Disclosure rate
200.0%
2 ÷ 1 advisors
Branch offices
2 offices
Formed in Florida
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
UNITED CAPITAL MARKETS, INC. — disclosures per advisor 100.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 2 |
| Customer Complaints | 0 |
| 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
UNITED CAPITAL MARKETS, INC. — 2 disclosures on FINRA U4/U5 categories
Peer Comparison
UNITED CAPITAL MARKETS, INC. vs. industry-median benchmarks for Small-tier broker-dealer firms.
Disclosure rate
200.0%
Industry median: 10.0%
Reg events / advisor
2.00
Industry median: 0.05
Branches / advisor
2.00
Industry median: 0.15
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- MIAMI, FL, 33133
- Formed
- 03/19/1996
- State of Formation
- Florida
- CRD Number
- 40980
- SEC Number
- 49253
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 UNITED CAPITAL MARKETS, INC.
UNITED CAPITAL MARKETS, INC. (Corporation, CRD# 40980 · SEC# 49253 · MIAMI, FL) reports 1 advisor across 2 branches — Small tier, scope ACTIVE.
BrokerCheck shows 2 disclosures (200.0% per-advisor rate): 2 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade F (1/5 internal scoring). 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 high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of F mean for UNITED CAPITAL MARKETS, INC.?
A grade of F indicates UNITED CAPITAL MARKETS, INC. has a significant number of FINRA disclosures relative to its size (200.0% disclosure rate). Prospective clients should review the specific disclosures before engaging.
How many FINRA disclosures does UNITED CAPITAL MARKETS, INC. have?
UNITED CAPITAL MARKETS, INC. has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at UNITED CAPITAL MARKETS, INC.?
UNITED CAPITAL MARKETS, INC. has 1 registered advisor and 2 branch offices, headquartered in FL. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify UNITED CAPITAL MARKETS, INC.'s disciplinary record?
You can verify UNITED CAPITAL MARKETS, INC.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40980. 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 UNITED CAPITAL MARKETS, INC. because of its disclosures?
Not necessarily. Larger firms with more advisors tend to accumulate more disclosures. UNITED CAPITAL MARKETS, INC. has a 200.0% disclosure rate (2 disclosures across 1 advisors). Consider reviewing the nature of individual disclosures on FINRA BrokerCheck and comparing rates with similarly-sized firms before making a decision.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial