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 | |
| Cheryl Spahr Wickham | 2361415 | 1 | 12/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Vanness Battle | 4697930 | 1 | 08/01/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Edward Blair | 1204155 | 3 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Arthur Jones | 734692 | 5 | 10/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Medlin | 1889227 | 1 | 08/03/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |