CRD #40980 · FINRA BrokerCheck + SEC IAPD

United Capital Markets, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, United Capital Markets, Inc. ranks #3,273 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #58 of 251 on the same disclosure sort used on the state browse page. United Capital Markets, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
2
disclosures
#3,273 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40980 United Capital Markets, Inc.

United Capital Markets, Inc. · Grade B · 2 disc · 1.00/office · Small firm

  • CRD 40980
  • GRADE B
  • DISC 2
  • REG 2
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 1.00
  • RANK #3,273 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00United Capital Mark… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

United Capital Markets, Inc. ranks #3,273 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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

2 offices

FINRA: Small firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

1.00 per office

2 ÷ 2 offices

United Capital Markets, Inc. 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 24% 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%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 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 2
Arbitrations 0
Civil Events 0
Total 2

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

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

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

Regulator-heavy mix

United Capital Markets, Inc. in the heavier-disclosure third

United Capital Markets, Inc. carries 2 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#3,273 of 20,055). Regulator-initiated events are 100% of the book (2 regulatory / 0 arbitration / 0 civil).

100% of United Capital Markets, Inc.'s 2 disclosures are regulator-initiated (2 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Florida cohort · 0.44× state average

United Capital Markets, Inc. tracks near the Florida disclosure average

United Capital Markets, Inc. reports 2 BrokerCheck disclosures, about 0.44× the Florida average of 4.6 across 251 graded firms.

In Florida, 152 firms carry Grade A and 0 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 Florida state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does United Capital Markets, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, United Capital Markets, Inc. ranks #3,273 of 20,055 by disclosure count (most disclosures first). Among firms registered in FL, it ranks #58 of 251 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 United Capital Markets, Inc.?
A grade of B reflects United Capital Markets, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck 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 big is United Capital Markets, Inc.?
United Capital Markets, Inc. operates 2 branch offices and is classified by FINRA as a small firm, registered in FL (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 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 BrokerCheck. For United Capital Markets, Inc., the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid United Capital Markets, Inc. 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. United Capital Markets, Inc. carries 2 disclosures across 2 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to United Capital Markets, Inc.'s 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to United Capital Markets, Inc.'s 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to United Capital Markets, Inc.'s 1.00
  • Firms in FL - state roster that includes United Capital Markets, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read United Capital Markets, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 2 disclosures behind United Capital Markets, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as United Capital Markets, Inc..
  • Compare firms - put United Capital Markets, Inc. 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.