Branch offices
0 offices
FINRA: Small firm
CRD #6292 · FINRA BrokerCheck + SEC IAPD
W.A. Capital Markets
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.A. Capital Markets ranks #182 of 20,055 by disclosure count (most disclosures first). W.A. Capital Markets carries 31 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 31
- disclosures
- #182 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 6292 W.A. Capital Markets
W.A. Capital Markets · Grade F · 31 disc · 31.00/office · Single-office firm
- CRD 6292
- GRADE F
- DISC 31
- REG 29
- ARB 2
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #182 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Centex Securities, Incorporated (31.00 disc/office)
W.A. Capital Markets ranks #182 of 20,055 by disclosure count among graded broker-dealers; heavy load at 31.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - 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
31 events
On FINRA BrokerCheck
Regulatory events
29 actions
94% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 29 |
| Arbitrations | 2 |
| Civil Events | 0 |
| Total | 31 |
Counts for W.A. Capital Markets reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 29 Arbitration 2 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 6292
Regulator-heavy mix
W.A. Capital Markets in the heavier-disclosure third
W.A. Capital Markets carries 31 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#182 of 20,055). Regulator-initiated events are 94% of the book (29 regulatory / 2 arbitration / 0 civil).
94% of W.A. Capital Markets's 31 disclosures are regulator-initiated (29 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of W.A. Capital Markets'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.A. Capital Markets sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W.A. Capital Markets ranks #182 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 F mean for W.A. Capital Markets?
A grade of F reflects W.A. Capital Markets's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 31 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W.A. Capital Markets have?
W.A. Capital Markets has 31 total FINRA disclosures, including 29 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is W.A. Capital Markets?
W.A. Capital Markets 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.A. Capital Markets's disciplinary record?
You can verify W.A. Capital Markets's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6292. 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.A. Capital Markets's 31 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid W.A. Capital Markets 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.A. Capital Markets carries 31 disclosures across 0 branch offices (about 31.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Centex Securities, Incorporated - 31.00 disclosures/office, nearest single-office firm peer to W.A. Capital Markets's 31.00
- Invest Financial Corporation - 31.00 disclosures/office, nearest single-office firm peer to W.A. Capital Markets's 31.00
- SLK-Hull Derivatives LLC - 31.00 disclosures/office, nearest single-office firm peer to W.A. Capital Markets's 31.00
- Red Flags in Advisor Records - How to read W.A. Capital Markets's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 31 disclosures behind W.A. Capital Markets's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as W.A. Capital Markets.
- Compare firms - put W.A. Capital Markets 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.