Branch offices
0 offices
FINRA: Small firm
CRD #36172 · FINRA BrokerCheck + SEC IAPD
WIN Capital Corp.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WIN Capital Corp. ranks #941 of 20,055 by disclosure count (most disclosures first). WIN Capital Corp. carries 8 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 8
- disclosures
- #941 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 36172 WIN Capital Corp.
WIN Capital Corp. · Grade D · 8 disc · 8.00/office · Single-office firm
- CRD 36172
- GRADE D
- DISC 8
- REG 7
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #941 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Abel/Noser Corp. (8.00 disc/office)
WIN Capital Corp. ranks #941 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
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 WIN Capital Corp. 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
- 02/17/1994
- State of Formation
- New York
- CRD Number
- 36172
- SEC Number
- 47174
Regulator-heavy mix
WIN Capital Corp. in the heavier-disclosure third
WIN Capital Corp. carries 8 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#941 of 20,055). Regulator-initiated events are 88% of the book (7 regulatory / 1 arbitration / 0 civil).
88% of WIN Capital Corp.'s 8 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of WIN Capital Corp.'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 WIN Capital Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, WIN Capital Corp. ranks #941 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 WIN Capital Corp.?
A grade of D reflects WIN Capital Corp.'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 WIN Capital Corp. have?
WIN Capital Corp. 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 WIN Capital Corp.?
WIN Capital Corp. 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 WIN Capital Corp.'s disciplinary record?
You can verify WIN Capital Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36172. 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). WIN Capital Corp.'s 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid WIN Capital Corp. 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. WIN Capital Corp. 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
- Abel/Noser Corp. - 8.00 disclosures/office, nearest single-office firm peer to WIN Capital Corp.'s 8.00
- Agency Trading Group, Inc. - 8.00 disclosures/office, nearest single-office firm peer to WIN Capital Corp.'s 8.00
- Ages Financial Services, Ltd. - 8.00 disclosures/office, nearest single-office firm peer to WIN Capital Corp.'s 8.00
- Red Flags in Advisor Records - How to read WIN Capital Corp.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 8 disclosures behind WIN Capital Corp.'s Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as WIN Capital Corp..
- Compare firms - put WIN Capital Corp. 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.