CRD #7072 · FINRA BrokerCheck + SEC IAPD

Cape Securities Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cape Securities Inc. ranks #1,382 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #7 of 58 on the same disclosure sort used on the state browse page. Cape Securities Inc. carries 5 BrokerCheck disclosures across 9 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
9
branch offices
5
disclosures
#1,382 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7072 Cape Securities Inc.

Cape Securities Inc. · Grade B · 5 disc · 0.56/office · Small firm

  • CRD 7072
  • GRADE B
  • DISC 5
  • REG 4
  • ARB 1
  • CIV 0
  • BRANCH 9
  • PER-OFF 0.56
  • RANK #1,382 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Gilder Gagnon Howe & Co. LLC (0.56 disc/office)

Gilder Gagnon Howe & Co…0.56Alamo Capital0.60Amuni Financial, Inc.0.60Cape Securities Inc. (this)0.56
Disclosures per office among small firm peers (lower is cleaner)

Cape Securities Inc. ranks #1,382 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.56 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

9 offices

FINRA: Small firm

Total disclosures

5 events

On FINRA BrokerCheck

Regulatory events

4 actions

80% of all disclosures

Disclosures per office

0.56 per office

5 ÷ 9 offices

Cape Securities Inc. vs. every disclosing firm

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

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 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 4
Arbitrations 1
Civil Events 0
Total 5

Counts for Cape Securities Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Mcdonough, GA, 30253
Formed
02/23/1976
State of Formation
North Carolina
CRD Number
7072
SEC Number
20747

Regulator-heavy mix

Cape Securities Inc. in the heavier-disclosure third

Cape Securities Inc. carries 5 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#1,382 of 20,055). Regulator-initiated events are 80% of the book (4 regulatory / 1 arbitration / 0 civil).

80% of Cape Securities Inc.'s 5 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Georgia cohort · 1.93× state average

Cape Securities Inc. sits above the Georgia disclosure average

Cape Securities Inc. reports 5 BrokerCheck disclosures, 1.93× the Georgia average of 2.6 across 58 graded firms with a principal-office state on file.

In Georgia, 38 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 Georgia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Cape Securities Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Cape Securities Inc. ranks #1,382 of 20,055 by disclosure count (most disclosures first). Among firms registered in GA, it ranks #7 of 58 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 Cape Securities Inc.?
A grade of B reflects Cape Securities Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 5 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Cape Securities Inc. have?
Cape Securities Inc. has 5 total FINRA disclosures, including 4 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Cape Securities Inc.?
Cape Securities Inc. operates 9 branch offices and is classified by FINRA as a small firm, registered in GA (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 Cape Securities Inc.'s disciplinary record?
You can verify Cape Securities Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7072. 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). Cape Securities Inc.'s 5 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Cape Securities 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. Cape Securities Inc. carries 5 disclosures across 9 branch offices (about 0.56 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 Cape Securities Inc., both outside GA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Gilder Gagnon Howe & Co. LLC (NY) - 0.56 disclosures/office, nearest small firm peer to Cape Securities Inc.'s 0.56
  • Alamo Capital (CA) - 0.60 disclosures/office, nearest small firm peer to Cape Securities Inc.'s 0.56
  • Amuni Financial, Inc. (FL) - 0.60 disclosures/office, nearest small firm peer to Cape Securities Inc.'s 0.56
  • Firms in GA - state roster that includes Cape Securities Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Cape Securities Inc..
  • Reading BrokerCheck Reports - How Cape Securities Inc.'s 0.56 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Cape Securities Inc..
  • Compare firms - put Cape Securities 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.