Branch offices
0 offices
FINRA: Small firm
CRD #8382 · FINRA BrokerCheck + SEC IAPD
William & Co. Capital Markets Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, William & Co. Capital Markets Ltd. ranks #1,100 of 20,055 by disclosure count (most disclosures first). William & Co. Capital Markets Ltd. carries 7 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 7
- disclosures
- #1,100 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 8382 William & Co. Capital Markets Ltd.
William & Co. Capital Markets Ltd. · Grade D · 7 disc · 7.00/office · Single-office firm
- CRD 8382
- GRADE D
- DISC 7
- REG 7
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,100 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Accutrade Inc. (7.00 disc/office)
William & Co. Capital Markets Ltd. ranks #1,100 of 20,055 by disclosure count among graded broker-dealers; heavy load at 7.00 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
7 events
On FINRA BrokerCheck
Regulatory events
7 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 7 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 7 |
Counts for William & Co. Capital Markets Ltd. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 7 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 8382
Regulator-heavy mix
William & Co. Capital Markets Ltd. in the heavier-disclosure third
William & Co. Capital Markets Ltd. carries 7 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#1,100 of 20,055). Regulator-initiated events are 100% of the book (7 regulatory / 0 arbitration / 0 civil).
100% of William & Co. Capital Markets Ltd.'s 7 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of William & Co. Capital Markets Ltd.'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 William & Co. Capital Markets Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, William & Co. Capital Markets Ltd. ranks #1,100 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 William & Co. Capital Markets Ltd.?
A grade of D reflects William & Co. Capital Markets Ltd.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 7 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does William & Co. Capital Markets Ltd. have?
William & Co. Capital Markets Ltd. has 7 total FINRA disclosures, including 7 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is William & Co. Capital Markets Ltd.?
William & Co. Capital Markets Ltd. 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 William & Co. Capital Markets Ltd.'s disciplinary record?
You can verify William & Co. Capital Markets Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8382. 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). William & Co. Capital Markets Ltd.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid William & Co. Capital Markets Ltd. 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. William & Co. Capital Markets Ltd. carries 7 disclosures across 0 branch offices (about 7.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Accutrade Inc. - 7.00 disclosures/office, nearest single-office firm peer to William & Co. Capital Markets Ltd.'s 7.00
- Achilles Securities, LLC - 7.00 disclosures/office, nearest single-office firm peer to William & Co. Capital Markets Ltd.'s 7.00
- Adams, Hess, Moore & Co. - 7.00 disclosures/office, nearest single-office firm peer to William & Co. Capital Markets Ltd.'s 7.00
- Red Flags in Advisor Records - How to read William & Co. Capital Markets Ltd.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 7 disclosures behind William & Co. Capital Markets Ltd.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as William & Co. Capital Markets Ltd..
- Compare firms - put William & Co. Capital Markets Ltd. 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.