CRD #6197 · FINRA BrokerCheck + SEC IAPD

W. T. Cabe & Company, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W. T. Cabe & Company, Inc. ranks #938 of 20,055 by disclosure count (most disclosures first). W. T. Cabe & Company, Inc. carries 8 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.

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Grade D
Safety grade
0
branch offices
8
disclosures
#938 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6197 W. T. Cabe & Company, Inc.

W. T. Cabe & Company, Inc. · Grade D · 8 disc · 8.00/office · Single-office firm

  • CRD 6197
  • GRADE D
  • DISC 8
  • REG 7
  • ARB 1
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #938 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Abel/Noser Corp. (8.00 disc/office)

Abel/Noser Corp.8.00Agency Trading Group, Inc.8.00Ages Financial Services…8.00W. T. Cabe & Compan… (this)8.00
Disclosures per office among single-office firm peers (lower is cleaner)

W. T. Cabe & Company, Inc. ranks #938 of 20,055 by disclosure count among graded broker-dealers; heavy load at 8.00 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

Branch offices

0 offices

FINRA: Small firm

Total disclosures

8 events

On FINRA BrokerCheck

Regulatory events

7 actions

88% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 1
Civil Events 0
Total 8

Counts for W. T. Cabe & Company, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
05/01/1972
State of Formation
New York
CRD Number
6197
SEC Number
17089

Regulator-heavy mix

W. T. Cabe & Company, Inc. in the heavier-disclosure third

W. T. Cabe & Company, Inc. carries 8 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#938 of 20,055). Regulator-initiated events are 88% of the book (7 regulatory / 1 arbitration / 0 civil).

88% of W. T. Cabe & Company, Inc.'s 8 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of W. T. Cabe & Company, Inc.'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 W. T. Cabe & Company, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W. T. Cabe & Company, Inc. ranks #938 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 W. T. Cabe & Company, Inc.?
A grade of D reflects W. T. Cabe & Company, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 8 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W. T. Cabe & Company, Inc. have?
W. T. Cabe & Company, Inc. has 8 total FINRA disclosures, including 7 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is W. T. Cabe & Company, Inc.?
W. T. Cabe & Company, 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 W. T. Cabe & Company, Inc.'s disciplinary record?
You can verify W. T. Cabe & Company, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6197. 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). W. T. Cabe & Company, Inc.'s 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid W. T. Cabe & Company, 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. W. T. Cabe & Company, Inc. carries 8 disclosures across 0 branch offices (about 8.00 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.