CRD #154559 · FINRA BrokerCheck + SEC IAPD

North Capital Private Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, North Capital Private Securities Corporation ranks #4,463 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #9 of 29 on the same disclosure sort used on the state browse page. North Capital Private Securities Corporation carries 1 BrokerCheck disclosure across 8 branch offices - light load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
8
branch offices
1
disclosure
#4,463 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 154559 North Capital Private Securities Corporation

North Capital Private Securities Corporation · Grade B · 1 disc · 0.13/office · Small firm

  • CRD 154559
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 8
  • PER-OFF 0.13
  • RANK #4,463 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Burch & Company, Inc (0.13 disc/office)

Burch & Company, Inc0.13Cascadia Capital, LLC0.13Compass Securities Corp…0.13North Capital Priva… (this)0.13
Disclosures per office among small firm peers (lower is cleaner)

North Capital Private Securities Corporation ranks #4,463 of 20,055 by disclosure count among graded broker-dealers; light load at 0.13 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

8 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.13 per office

1 ÷ 8 offices

North Capital Private Securities Corporation 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 83% 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 North Capital Private Securities Corporation 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
Small
Scope
ACTIVE
Location
Salt Lake City, UT
CRD Number
154559

Regulator-heavy mix

North Capital Private Securities Corporation in the heavier-disclosure third

North Capital Private Securities Corporation carries 1 BrokerCheck disclosure across 8 branch offices - a heavier-third raw book among graded firms (#4,463 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of North Capital Private Securities Corporation's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Utah cohort · 0.40× state average

North Capital Private Securities Corporation tracks near the Utah disclosure average

North Capital Private Securities Corporation reports 1 BrokerCheck disclosure, about 0.40× the Utah average of 2.5 across 29 graded firms.

In Utah, 20 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 Utah state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does North Capital Private Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, North Capital Private Securities Corporation ranks #4,463 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #9 of 29 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 North Capital Private Securities Corporation?
A grade of B reflects North Capital Private Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 8 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does North Capital Private Securities Corporation have?
North Capital Private Securities Corporation 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 North Capital Private Securities Corporation?
North Capital Private Securities Corporation operates 8 branch offices and is classified by FINRA as a small firm, registered in UT (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 North Capital Private Securities Corporation's disciplinary record?
You can verify North Capital Private Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 154559. 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 North Capital Private Securities Corporation 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. North Capital Private Securities Corporation carries 1 disclosure across 8 branch offices (about 0.13 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 North Capital Private Securities Corporation, both outside UT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Burch & Company, Inc (MO) - 0.13 disclosures/office, nearest small firm peer to North Capital Private Securities Corporation's 0.13
  • Cascadia Capital, LLC (WA) - 0.13 disclosures/office, nearest small firm peer to North Capital Private Securities Corporation's 0.13
  • Compass Securities Corporation (MA) - 0.13 disclosures/office, nearest small firm peer to North Capital Private Securities Corporation's 0.13
  • Firms in UT - state roster that includes North Capital Private Securities Corporation's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like North Capital Private Securities Corporation.
  • Reading BrokerCheck Reports - How North Capital Private Securities Corporation's 0.13 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to North Capital Private Securities Corporation.
  • Compare firms - put North Capital Private Securities Corporation 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.