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FIRM PROFILE
Overview
CAPFINANCIAL SECURITIES, LLC. is located at 4208 Six Forks Road, Suite 1700, Raleigh, NC 27609 and was first established at Atlanta, North Carolina in 11/21/2013. After operating for 12 years, CAPFINANCIAL SECURITIES, LLC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CAPFINANCIAL SECURITIES, LLC.’s clients are individuals and 0% of their clients are high net worth individuals. CAPFINANCIAL SECURITIES, LLC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CAPFINANCIAL SECURITIES, LLC. are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CAPFINANCIAL SECURITIES, LLC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CAPFINANCIAL SECURITIES, LLC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CAPFINANCIAL SECURITIES, LLC. Comes From
Understanding the Statistics for CAPFINANCIAL SECURITIES, LLC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Medium
(919) 870-6822
North Carolina since 11/21/2013
Limited Liability Company
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | ||
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 | |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 | |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 | |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 | |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
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Advisor's working at CAPFINANCIAL SECURITIES, LLC.
Marilyn Schaja
Alan Robert Nachman II
Kelly A Shikany
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