CRD #14752 · FINRA BrokerCheck + SEC IAPD

Capital Investment Group, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Investment Group, Inc. ranks #665 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #2 of 55 on the same disclosure sort used on the state browse page. Capital Investment Group, Inc. carries 10 BrokerCheck disclosures across 82 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
82
branch offices
10
disclosures
#665 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14752 Capital Investment Group, Inc.

Capital Investment Group, Inc. · Grade B · 10 disc · 0.12/office · Mid-sized firm

  • CRD 14752
  • GRADE B
  • DISC 10
  • REG 7
  • ARB 3
  • CIV 0
  • BRANCH 82
  • PER-OFF 0.12
  • RANK #665 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Pinnacle Investments, LLC (0.12 disc/office)

Pinnacle Investments, LLC0.12Siebert Williams Shank …0.12Chelsea Financial Services0.13Capital Investment … (this)0.12
Disclosures per office among mid-sized firm peers (lower is cleaner)

Capital Investment Group, Inc. ranks #665 of 20,055 by disclosure count among graded broker-dealers; light load at 0.12 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

82 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

7 actions

70% of all disclosures

Disclosures per office

0.12 per office

10 ÷ 82 offices

Capital Investment Group, Inc. 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 85% 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 7
Arbitrations 3
Civil Events 0
Total 10

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

Disclosure category share

Regulatory 7 Arbitration 3 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Raleigh, NC
CRD Number
14752

Lower disclosures per office

Capital Investment Group, Inc. in the heavier-disclosure third

Capital Investment Group, Inc. carries 10 BrokerCheck disclosures across 82 branch offices - a heavier-third raw book among graded firms (#665 of 20,055). Regulator-initiated events are 70% of the book (7 regulatory / 3 arbitration / 0 civil).

Capital Investment Group, Inc. runs 0.12 disclosures per branch office (cleaner than 85% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

North Carolina cohort · 2.34× state average

Capital Investment Group, Inc. sits above the North Carolina disclosure average

Capital Investment Group, Inc. reports 10 BrokerCheck disclosures, 2.34× the North Carolina average of 4.3 across 55 graded firms with a principal-office state on file.

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 Capital Investment Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capital Investment Group, Inc. ranks #665 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #2 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 Capital Investment Group, Inc.?
A grade of B reflects Capital Investment Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 10 total disclosures across 82 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capital Investment Group, Inc. have?
Capital Investment Group, Inc. has 10 total FINRA disclosures, including 7 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capital Investment Group, Inc.?
Capital Investment Group, Inc. operates 82 branch offices and is classified by FINRA as a small 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 Capital Investment Group, Inc.'s disciplinary record?
You can verify Capital Investment Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14752. 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 Investment Group, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Capital Investment Group, 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. Capital Investment Group, Inc. carries 10 disclosures across 82 branch offices (about 0.12 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 Capital Investment Group, Inc., both outside NC so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Pinnacle Investments, LLC (NY) - 0.12 disclosures/office, nearest mid-sized firm peer to Capital Investment Group, Inc.'s 0.12
  • Siebert Williams Shank & Co., LLC (NY) - 0.12 disclosures/office, nearest mid-sized firm peer to Capital Investment Group, Inc.'s 0.12
  • Chelsea Financial Services (NY) - 0.13 disclosures/office, nearest mid-sized firm peer to Capital Investment Group, Inc.'s 0.12
  • Firms in NC - state roster that includes Capital Investment Group, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Capital Investment Group, Inc..
  • Reading BrokerCheck Reports - How Capital Investment Group, Inc.'s 0.12 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Capital Investment Group, Inc..
  • Compare firms - put Capital Investment Group, 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.