Branch offices
0 offices
FINRA: Small firm
CRD #22081 · FINRA BrokerCheck + SEC IAPD
Vanguard Capital
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vanguard Capital ranks #543 of 20,055 by disclosure count (most disclosures first). Vanguard Capital carries 13 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 13
- disclosures
- #543 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 22081 Vanguard Capital
Vanguard Capital · Grade D · 13 disc · 13.00/office · Single-office firm
- CRD 22081
- GRADE D
- DISC 13
- REG 10
- ARB 3
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #543 of 20,055
- BOOK Single-office firm
Nearest same-size peer: Advanced Equities, Inc. (13.00 disc/office)
Vanguard Capital ranks #543 of 20,055 by disclosure count among graded broker-dealers; heavy load at 13.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
Total disclosures
13 events
On FINRA BrokerCheck
Regulatory events
10 actions
77% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 10 |
| Arbitrations | 3 |
| Civil Events | 0 |
| Total | 13 |
Counts for Vanguard Capital reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 10 Arbitration 3 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 02/24/1988
- State of Formation
- California
- CRD Number
- 22081
- SEC Number
- 39450
Regulator-heavy mix
Vanguard Capital in the heavier-disclosure third
Vanguard Capital carries 13 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#543 of 20,055). Regulator-initiated events are 77% of the book (10 regulatory / 3 arbitration / 0 civil).
77% of Vanguard Capital's 13 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Vanguard Capital'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 Vanguard Capital sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vanguard Capital ranks #543 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 D mean for Vanguard Capital?
A grade of D reflects Vanguard Capital's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 13 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vanguard Capital have?
Vanguard Capital has 13 total FINRA disclosures, including 10 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vanguard Capital?
Vanguard Capital 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 Vanguard Capital's disciplinary record?
You can verify Vanguard Capital's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 22081. 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). Vanguard Capital's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Vanguard Capital 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. Vanguard Capital carries 13 disclosures across 0 branch offices (about 13.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Advanced Equities, Inc. - 13.00 disclosures/office, nearest single-office firm peer to Vanguard Capital's 13.00
- Barrett Securities Inc. - 13.00 disclosures/office, nearest single-office firm peer to Vanguard Capital's 13.00
- Burlington Capital Markets Inc. - 13.00 disclosures/office, nearest single-office firm peer to Vanguard Capital's 13.00
- Red Flags in Advisor Records - How to read Vanguard Capital's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 13 disclosures behind Vanguard Capital's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Vanguard Capital.
- Compare firms - put Vanguard Capital 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.