CRD #41040 · FINRA BrokerCheck + SEC IAPD

Capital Growth Financial, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Growth Financial, LLC ranks #294 of 20,055 by disclosure count (most disclosures first). Capital Growth Financial, LLC carries 20 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

Verify on FINRA BrokerCheck → Browse all firms
Grade F
Safety grade
0
branch offices
20
disclosures
#294 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 41040 Capital Growth Financial, LLC

Capital Growth Financial, LLC · Grade F · 20 disc · 20.00/office · Single-office firm

  • CRD 41040
  • GRADE F
  • DISC 20
  • REG 12
  • ARB 8
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #294 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Bridge Trading Company (20.00 disc/office)

Bridge Trading Company20.00Citigroup Derivatives M…20.00First Union Brokerage S…20.00Capital Growth Fina… (this)20.00
Disclosures per office among single-office firm peers (lower is cleaner)

Capital Growth Financial, LLC ranks #294 of 20,055 by disclosure count among graded broker-dealers; heavy load at 20.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - 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

0 offices

FINRA: Small firm

Total disclosures

20 events

On FINRA BrokerCheck

Regulatory events

12 actions

60% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 8
Civil Events 0
Total 20

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

Disclosure category share

Regulatory 12 Arbitration 8 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
41040

Heavy disclosure book

Capital Growth Financial, LLC in the heavier-disclosure third

Capital Growth Financial, LLC carries 20 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#294 of 20,055). Regulator-initiated events are 60% of the book (12 regulatory / 8 arbitration / 0 civil).

Capital Growth Financial, LLC ranks #294 of 20,055 by BrokerCheck disclosure count among graded firms (20 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capital Growth Financial, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Growth Financial, LLC ranks #294 of 20,055 by disclosure count (most disclosures first). 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 F mean for Capital Growth Financial, LLC?
A grade of F reflects Capital Growth Financial, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 20 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital Growth Financial, LLC have?
Capital Growth Financial, LLC has 20 total FINRA disclosures, including 12 regulatory events, 8 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Growth Financial, LLC?
Capital Growth Financial, LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Growth Financial, LLC's disciplinary record?
You can verify Capital Growth Financial, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 41040. 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). Capital Growth Financial, LLC's 20 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Capital Growth Financial, 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 Growth Financial, LLC carries 20 disclosures across 0 branch offices (about 20.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.