CRD #37 · FINRA BrokerCheck + SEC IAPD

World Capital Brokerage, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, World Capital Brokerage, Inc. ranks #2,498 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #13 of 56 on the same disclosure sort used on the state browse page. World Capital Brokerage, Inc. carries 3 BrokerCheck disclosures across 13 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
13
branch offices
3
disclosures
#2,498 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 37 World Capital Brokerage, Inc.

World Capital Brokerage, Inc. · Grade B · 3 disc · 0.23/office · Regional firm

  • CRD 37
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.23
  • RANK #2,498 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: GLP Investment Services, LLC (0.23 disc/office)

GLP Investment Services…0.23Trade-PMR Inc.0.23American Century Invest…0.21World Capital Broke… (this)0.23
Disclosures per office among regional firm peers (lower is cleaner)

World Capital Brokerage, Inc. ranks #2,498 of 20,055 by disclosure count among graded broker-dealers; light load at 0.23 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

Branch offices

13 offices

FINRA: Small firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.23 per office

3 ÷ 13 offices

World Capital Brokerage, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 75% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts for World Capital Brokerage, Inc. 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
ACTIVE
Location
Denver, CO
CRD Number
37

Regulator-heavy mix

World Capital Brokerage, Inc. in the heavier-disclosure third

World Capital Brokerage, Inc. carries 3 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#2,498 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

100% of World Capital Brokerage, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of World Capital Brokerage, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Colorado cohort · 1.98× state average

World Capital Brokerage, Inc. sits above the Colorado disclosure average

World Capital Brokerage, Inc. reports 3 BrokerCheck disclosures, 1.98× the Colorado average of 1.5 across 56 graded firms with a principal-office state on file.

In Colorado, 37 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Colorado state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does World Capital Brokerage, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, World Capital Brokerage, Inc. ranks #2,498 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #13 of 56 on the same disclosure sort used on the state browse page. 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 B mean for World Capital Brokerage, Inc.?
A grade of B reflects World Capital Brokerage, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 3 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does World Capital Brokerage, Inc. have?
World Capital Brokerage, Inc. 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 World Capital Brokerage, Inc.?
World Capital Brokerage, Inc. operates 13 branch offices and is classified by FINRA as a small firm, registered in CO (Regional 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 World Capital Brokerage, Inc.'s disciplinary record?
You can verify World Capital Brokerage, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37. 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 World Capital Brokerage, Inc. 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. World Capital Brokerage, Inc. carries 3 disclosures across 13 branch offices (about 0.23 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for World Capital Brokerage, Inc., both outside CO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • GLP Investment Services, LLC (MI) - 0.23 disclosures/office, nearest regional firm peer to World Capital Brokerage, Inc.'s 0.23
  • Trade-PMR Inc. (FL) - 0.23 disclosures/office, nearest regional firm peer to World Capital Brokerage, Inc.'s 0.23
  • American Century Investment Services Inc. (MO) - 0.21 disclosures/office, nearest regional firm peer to World Capital Brokerage, Inc.'s 0.23
  • Firms in CO - state roster that includes World Capital Brokerage, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like World Capital Brokerage, Inc..
  • Reading BrokerCheck Reports - How World Capital Brokerage, Inc.'s 0.23 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to World Capital Brokerage, Inc..
  • Compare firms - put World Capital Brokerage, Inc. 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.