CRD #126291 · FINRA BrokerCheck + SEC IAPD

Capfinancial Securities, LLC.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capfinancial Securities, LLC. ranks #3,598 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #14 of 55 on the same disclosure sort used on the state browse page. Capfinancial Securities, LLC. carries 1 BrokerCheck disclosure across 35 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
35
branch offices
1
disclosure
#3,598 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 126291 Capfinancial Securities, LLC.

Capfinancial Securities, LLC. · Grade B · 1 disc · 0.03/office · Mid-sized firm

  • CRD 126291
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 35
  • PER-OFF 0.03
  • RANK #3,598 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Oakwood Capital Securities, Inc. (0.03 disc/office)

Oakwood Capital Securit…0.03Innovation Partners LLC0.02MMA Securities LLC0.03Capfinancial Securi… (this)0.03
Disclosures per office among mid-sized firm peers (lower is cleaner)

Capfinancial Securities, LLC. ranks #3,598 of 20,055 by disclosure count among graded broker-dealers; light load at 0.03 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

35 offices

FINRA: Medium firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.03 per office

1 ÷ 35 offices

Capfinancial Securities, 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 94% 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 Capfinancial Securities, 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
Medium
Scope
ACTIVE
Location
Raleigh, NC
CRD Number
126291

Regulator-heavy mix

Capfinancial Securities, LLC. in the heavier-disclosure third

Capfinancial Securities, LLC. carries 1 BrokerCheck disclosure across 35 branch offices - a heavier-third raw book among graded firms (#3,598 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

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

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

North Carolina cohort · 0.23× state average

Capfinancial Securities, LLC. sits below the North Carolina disclosure average

Capfinancial Securities, LLC. reports 1 BrokerCheck disclosure, 0.23× the North Carolina average of 4.3, lighter than most of the 55 graded firms filed there.

In North Carolina, 31 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 North Carolina state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capfinancial Securities, LLC. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capfinancial Securities, LLC. ranks #3,598 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #14 of 55 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 Capfinancial Securities, LLC.?
A grade of B reflects Capfinancial Securities, LLC.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 1 total disclosure across 35 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capfinancial Securities, LLC. have?
Capfinancial Securities, 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 Capfinancial Securities, LLC.?
Capfinancial Securities, LLC. operates 35 branch offices and is classified by FINRA as a medium firm, registered in NC (Mid-sized 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 Capfinancial Securities, LLC.'s disciplinary record?
You can verify Capfinancial Securities, LLC.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 126291. 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 Capfinancial Securities, 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. Capfinancial Securities, LLC. carries 1 disclosure across 35 branch offices (about 0.03 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 Capfinancial Securities, LLC., both outside NC so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Oakwood Capital Securities, Inc. (FL) - 0.03 disclosures/office, nearest mid-sized firm peer to Capfinancial Securities, LLC.'s 0.03
  • Innovation Partners LLC (NC) - 0.02 disclosures/office, nearest mid-sized firm peer to Capfinancial Securities, LLC.'s 0.03
  • MMA Securities LLC (NY) - 0.03 disclosures/office, nearest mid-sized firm peer to Capfinancial Securities, LLC.'s 0.03
  • Firms in NC - state roster that includes Capfinancial Securities, LLC.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Capfinancial Securities, LLC..
  • Reading BrokerCheck Reports - How Capfinancial Securities, LLC.'s 0.03 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Capfinancial Securities, LLC..
  • Compare firms - put Capfinancial Securities, 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.