Branch offices
0 offices
FINRA: Small firm
CRD #11074 · FINRA BrokerCheck + SEC IAPD
Wallace Associates Capital Group
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wallace Associates Capital Group ranks #19,425 of 20,055 by disclosure count (most disclosures first). Wallace Associates Capital Group has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 0
- branch offices
- 0
- disclosures
- #19,425 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 11074 Wallace Associates Capital Group
Wallace Associates Capital Group · Grade A · 0 disc · 0.00/office · Single-office firm
- CRD 11074
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #19,425 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)
Wallace Associates Capital Group ranks #19,425 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
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
Wallace Associates Capital Group 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
- CRD Number
- 11074
Clean BrokerCheck surface
Wallace Associates Capital Group's clean BrokerCheck surface
Wallace Associates Capital Group shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).
Wallace Associates Capital Group shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wallace Associates Capital Group'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 Wallace Associates Capital Group sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wallace Associates Capital Group ranks #19,425 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 Wallace Associates Capital Group?
A grade of A means Wallace Associates Capital Group 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 Wallace Associates Capital Group have?
Wallace Associates Capital Group has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wallace Associates Capital Group?
Wallace Associates Capital Group 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 Wallace Associates Capital Group's disciplinary record?
You can verify Wallace Associates Capital Group's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 11074. 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. Wallace Associates Capital Group 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 Wallace Associates Capital Group's 0.00
- 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to Wallace Associates Capital Group's 0.00
- 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to Wallace Associates Capital Group's 0.00
- How to Vet a Financial Advisor - Use Wallace Associates Capital Group's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Wallace Associates Capital Group's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Wallace Associates Capital Group.
- Compare firms - put Wallace Associates Capital Group 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.