CRD #135111 · FINRA BrokerCheck + SEC IAPD

Yellow Cardinal Corporate Finance, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Yellow Cardinal Corporate Finance, LLC ranks #5,056 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #31 of 57 on the same disclosure sort used on the state browse page. Yellow Cardinal Corporate Finance, LLC carries 1 BrokerCheck disclosure across 6 branch offices - light load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
6
branch offices
1
disclosure
#5,056 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 135111 Yellow Cardinal Corporate Finance, LLC

Yellow Cardinal Corporate Finance, LLC · Grade B · 1 disc · 0.17/office · Small firm

  • CRD 135111
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 6
  • PER-OFF 0.17
  • RANK #5,056 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Baker Tilly Capital, LLC (0.17 disc/office)

Baker Tilly Capital, LLC0.17FSB Premier Wealth Mana…0.17Greenhill & Co., LLC0.17Yellow Cardinal Cor… (this)0.17
Disclosures per office among small firm peers (lower is cleaner)

Yellow Cardinal Corporate Finance, LLC ranks #5,056 of 20,055 by disclosure count among graded broker-dealers; light load at 0.17 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

6 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.17 per office

1 ÷ 6 offices

Yellow Cardinal Corporate Finance, LLC 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 79% 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 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Yellow Cardinal Corporate Finance, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Hamilton, OH, 45069
Formed
02/08/2005
State of Formation
Ohio
CRD Number
135111
SEC Number
66894

Regulator-heavy mix

Yellow Cardinal Corporate Finance, LLC in the heavier-disclosure third

Yellow Cardinal Corporate Finance, LLC carries 1 BrokerCheck disclosure across 6 branch offices - a heavier-third raw book among graded firms (#5,056 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Yellow Cardinal Corporate Finance, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Yellow Cardinal Corporate Finance, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Ohio cohort · 0.24× state average

Yellow Cardinal Corporate Finance, LLC sits below the Ohio disclosure average

Yellow Cardinal Corporate Finance, LLC reports 1 BrokerCheck disclosure, 0.24× the Ohio average of 4.1, lighter than most of the 57 graded firms filed there.

In Ohio, 26 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 Ohio state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Yellow Cardinal Corporate Finance, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Yellow Cardinal Corporate Finance, LLC ranks #5,056 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #31 of 57 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 Yellow Cardinal Corporate Finance, LLC?
A grade of B reflects Yellow Cardinal Corporate Finance, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Yellow Cardinal Corporate Finance, LLC have?
Yellow Cardinal Corporate Finance, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Yellow Cardinal Corporate Finance, LLC?
Yellow Cardinal Corporate Finance, LLC operates 6 branch offices and is classified by FINRA as a small firm, registered in OH (Small 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 Yellow Cardinal Corporate Finance, LLC's disciplinary record?
You can verify Yellow Cardinal Corporate Finance, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 135111. 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 Yellow Cardinal Corporate Finance, LLC 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. Yellow Cardinal Corporate Finance, LLC carries 1 disclosure across 6 branch offices (about 0.17 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 Yellow Cardinal Corporate Finance, LLC, both outside OH so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Baker Tilly Capital, LLC (WI) - 0.17 disclosures/office, nearest small firm peer to Yellow Cardinal Corporate Finance, LLC's 0.17
  • FSB Premier Wealth Management, Inc. (IA) - 0.17 disclosures/office, nearest small firm peer to Yellow Cardinal Corporate Finance, LLC's 0.17
  • Greenhill & Co., LLC (NY) - 0.17 disclosures/office, nearest small firm peer to Yellow Cardinal Corporate Finance, LLC's 0.17
  • Firms in OH - state roster that includes Yellow Cardinal Corporate Finance, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Yellow Cardinal Corporate Finance, LLC.
  • Reading BrokerCheck Reports - How Yellow Cardinal Corporate Finance, LLC's 0.17 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Yellow Cardinal Corporate Finance, LLC.
  • Compare firms - put Yellow Cardinal Corporate Finance, LLC 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.