Our Staff has compiled our research into a database of FINRA Broker Disclosures for Capfinancial Securities, Llc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Devin Poulsen Gillies | 6716701 | 1 | 11/18/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Bona Kelton | 6014853 | 2 | 02/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Bona Kelton | 6014853 | 2 | 01/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Edward Mang | 2228023 | 1 | 12/24/2020 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Rashad Sullivan | 5619058 | 2 | 11/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Adcock | 4849315 | 1 | 10/31/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Nathaniel Deleon | 5777119 | 1 | 10/31/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rashad Sullivan | 5619058 | 2 | 09/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Merritt Gordon | 2293835 | 1 | 09/06/2019 | Customer Dispute | Settled | $26,492.00 | $0.00 | See FINRA Report |
| Cheryl Spahr Wickham | 2361415 | 1 | 12/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |