CRD #16144 · FINRA BrokerCheck + SEC IAPD

Univest Capital Markets, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Univest Capital Markets, Inc. ranks #19,051 of 20,055 by disclosure count (most disclosures first). Univest Capital Markets, Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
0
branch offices
0
disclosures
#19,051 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16144 Univest Capital Markets, Inc.

Univest Capital Markets, Inc. · Grade A · 0 disc · 0.00/office · Single-office firm

  • CRD 16144
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #19,051 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)

1-800 NO Loads, Inc.0.001031 Exchange Place, Inc.0.0010X Securities0.00Univest Capital Mar… (this)0.00
Disclosures per office among single-office firm peers (lower is cleaner)

Univest Capital Markets, Inc. ranks #19,051 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - 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

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

- per office

footprint not reported

Clean disclosure surface

Univest Capital Markets, Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
11/27/1984
State of Formation
Georgia
CRD Number
16144
SEC Number
33372

Clean BrokerCheck surface

Univest Capital Markets, Inc.'s clean BrokerCheck surface

Univest Capital Markets, Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).

Univest Capital Markets, Inc. shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Univest Capital Markets, Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Univest Capital Markets, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Univest Capital Markets, Inc. ranks #19,051 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 A mean for Univest Capital Markets, Inc.?
A grade of A means Univest Capital Markets, Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Univest Capital Markets, Inc. have?
Univest Capital Markets, Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Univest Capital Markets, Inc.?
Univest Capital Markets, Inc. 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 Univest Capital Markets, Inc.'s disciplinary record?
You can verify Univest Capital Markets, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16144. 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 BrokerCheck record. Univest Capital Markets, Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Read with this firm

  • 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Univest Capital Markets, Inc.'s 0.00
  • 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Univest Capital Markets, Inc.'s 0.00
  • 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Univest Capital Markets, Inc.'s 0.00
  • How to Vet a Financial Advisor - Use Univest Capital Markets, Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like Univest Capital Markets, Inc.'s does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Univest Capital Markets, Inc..
  • Compare firms - put Univest Capital Markets, Inc. next to peers on grade and footprint.

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.