Branch offices
0 offices
FINRA: Small firm
CRD #104937 · FINRA BrokerCheck + SEC IAPD
Wellington Capital Markets, L.L.C.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wellington Capital Markets, L.L.C. ranks #2,485 of 20,055 by disclosure count (most disclosures first). Wellington Capital Markets, L.L.C. carries 3 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 3
- disclosures
- #2,485 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 104937 Wellington Capital Markets, L.L.C.
Wellington Capital Markets, L.L.C. · Grade C · 3 disc · 3.00/office · Single-office firm
- CRD 104937
- GRADE C
- DISC 3
- REG 3
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #2,485 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)
Wellington Capital Markets, L.L.C. ranks #2,485 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
3 events
On FINRA BrokerCheck
Regulatory events
3 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 3 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 3 |
Counts for Wellington Capital Markets, L.L.C. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 3 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 104937
Regulator-heavy mix
Wellington Capital Markets, L.L.C. in the heavier-disclosure third
Wellington Capital Markets, L.L.C. carries 3 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,485 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).
100% of Wellington Capital Markets, L.L.C.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Wellington Capital Markets, L.L.C.'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 Wellington Capital Markets, L.L.C. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wellington Capital Markets, L.L.C. ranks #2,485 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 C mean for Wellington Capital Markets, L.L.C.?
A grade of C reflects Wellington Capital Markets, L.L.C.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wellington Capital Markets, L.L.C. have?
Wellington Capital Markets, L.L.C. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wellington Capital Markets, L.L.C.?
Wellington Capital Markets, L.L.C. 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 Wellington Capital Markets, L.L.C.'s disciplinary record?
You can verify Wellington Capital Markets, L.L.C.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 104937. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Wellington Capital Markets, L.L.C. 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. Wellington Capital Markets, L.L.C. carries 3 disclosures across 0 branch offices (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A. B. Culbertson and Company - 3.00 disclosures/office, nearest single-office firm peer to Wellington Capital Markets, L.L.C.'s 3.00
- A. Gary Shilling & Co., Inc. - 3.00 disclosures/office, nearest single-office firm peer to Wellington Capital Markets, L.L.C.'s 3.00
- Abner Herrman & Brock, LLC - 3.00 disclosures/office, nearest single-office firm peer to Wellington Capital Markets, L.L.C.'s 3.00
- Red Flags in Advisor Records - How to read Wellington Capital Markets, L.L.C.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 3 disclosures behind Wellington Capital Markets, L.L.C.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Wellington Capital Markets, L.L.C..
- Compare firms - put Wellington Capital Markets, L.L.C. 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.