CRD #146001 · FINRA BrokerCheck + SEC IAPD

Capital City Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital City Securities, LLC ranks #1,638 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #11 of 57 on the same disclosure sort used on the state browse page. Capital City Securities, LLC carries 4 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
4
branch offices
4
disclosures
#1,638 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 146001 Capital City Securities, LLC

Capital City Securities, LLC · Grade B · 4 disc · 1.00/office · Small firm

  • CRD 146001
  • GRADE B
  • DISC 4
  • REG 3
  • ARB 1
  • CIV 0
  • BRANCH 4
  • PER-OFF 1.00
  • RANK #1,638 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Capital City Securi… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Capital City Securities, LLC ranks #1,638 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 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

4 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

3 actions

75% of all disclosures

Disclosures per office

1.00 per office

4 ÷ 4 offices

Capital City Securities, LLC 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 24% 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%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 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 1
Civil Events 0
Total 4

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

Disclosure category share

Regulatory 3 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Powell, OH
CRD Number
146001

Elevated disclosures per office

Capital City Securities, LLC in the heavier-disclosure third

Capital City Securities, LLC carries 4 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#1,638 of 20,055). Regulator-initiated events are 75% of the book (3 regulatory / 1 arbitration / 0 civil).

Capital City Securities, LLC runs 1.00 disclosures per branch office (cleaner than only 76% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Ohio cohort · 0.97× state average

Capital City Securities, LLC tracks near the Ohio disclosure average

Capital City Securities, LLC reports 4 BrokerCheck disclosures, about 0.97× the Ohio average of 4.1 across 57 graded firms.

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 Capital City Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital City Securities, LLC ranks #1,638 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #11 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 Capital City Securities, LLC?
A grade of B reflects Capital City Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital City Securities, LLC have?
Capital City Securities, LLC has 4 total FINRA disclosures, including 3 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital City Securities, LLC?
Capital City Securities, LLC operates 4 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 Capital City Securities, LLC's disciplinary record?
You can verify Capital City Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 146001. 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 BrokerCheck. For Capital City Securities, LLC, the 1.00 per-office intensity is the size-normalized signal behind Grade B.
Should I avoid Capital City 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. Capital City Securities, LLC carries 4 disclosures across 4 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to Capital City Securities, LLC's 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to Capital City Securities, LLC's 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to Capital City Securities, LLC's 1.00
  • Firms in OH - state roster that includes Capital City Securities, LLC's registration home.
  • Red Flags in Advisor Records - How to read Capital City Securities, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 4 disclosures behind Capital City Securities, LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Capital City Securities, LLC.
  • Compare firms - put Capital City 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.