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 |
|---|---|---|---|---|---|---|---|---|
| Lory Ringley | 5190030 | 1 | 09/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Edward Draper | 2939545 | 2 | 05/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Kuhl Colley | 1544753 | 1 | 06/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Patrick Abad | 2923073 | 1 | 05/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 05/08/2015 | Customer Dispute | Closed-No Action | $29,700.00 | $0.00 | See FINRA Report |
| Robert Charles Jones | 4905062 | 1 | 06/18/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Edward Draper | 2939545 | 2 | 05/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Penha | 5789318 | 1 | 01/16/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Barry Smith | 5373402 | 1 | 12/20/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Wells Tucker | 2068400 | 1 | 10/31/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |