CRD #7551 · FINRA BrokerCheck + SEC IAPD

Capis

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capis ranks #735 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #9 of 189 on the same disclosure sort used on the state browse page. Capis carries 9 BrokerCheck disclosures across 14 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
14
branch offices
9
disclosures
#735 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7551 Capis

Capis · Grade B · 9 disc · 0.64/office · Regional firm

  • CRD 7551
  • GRADE B
  • DISC 9
  • REG 9
  • ARB 0
  • CIV 0
  • BRANCH 14
  • PER-OFF 0.64
  • RANK #735 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Southstate Securities Corp. (0.63 disc/office)

Southstate Securities C…0.63B. C. Ziegler and Company0.67Nuveen Securities, LLC0.67Capis (this)0.64
Disclosures per office among regional firm peers (lower is cleaner)

Capis ranks #735 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.64 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

14 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

9 actions

100% of all disclosures

Disclosures per office

0.64 per office

9 ÷ 14 offices

Capis 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 42% 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 9
Arbitrations 0
Civil Events 0
Total 9

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

Disclosure category share

Regulatory 9 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Dallas, TX, 75201
Formed
08/31/1977
State of Formation
Texas
CRD Number
7551
SEC Number
22273

Regulator-heavy mix

Capis in the heavier-disclosure third

Capis carries 9 BrokerCheck disclosures across 14 branch offices - a heavier-third raw book among graded firms (#735 of 20,055). Regulator-initiated events are 100% of the book (9 regulatory / 0 arbitration / 0 civil).

100% of Capis's 9 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Texas cohort · 2.23× state average

Capis sits above the Texas disclosure average

Capis reports 9 BrokerCheck disclosures, 2.23× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 firms carry Grade A and 1 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 Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capis sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capis ranks #735 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #9 of 189 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 Capis?
A grade of B reflects Capis's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 9 total disclosures across 14 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capis have?
Capis has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capis?
Capis operates 14 branch offices and is classified by FINRA as a small firm, registered in TX (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 Capis's disciplinary record?
You can verify Capis's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7551. 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). Capis's 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Capis 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. Capis carries 9 disclosures across 14 branch offices (about 0.64 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 Capis, both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.