North Capital Private Securities Corporation
Brokerage firm regulated by FINRA (Denver district office)
Salt Lake City, UT 84047 USA
Registration Summary
Disclosures
For details of these disclosures as well as disclosures involving non-registered affiliated entities, refer to the Detailed Report. For disclosures involving registered affiliated entities, visit the BrokerCheck page for those firms.
General Information
Main Office Location
623 E Ft Union Blvd, Suite 101
Salt Lake City, UT 84047 USA
Mailing Address
623 E Ft Union Blvd, Suite 101
Salt Lake City, UT 84047 USA
Phone
Established
Delaware — 05/20/2010
Type
Corporation
Fiscal Year End
March
Direct Owners and Executive Officers
| Name | Position |
|---|---|
North Capital Investment Technology, Inc. | Owner |
Anderson, Joseph Carl CRD#: 4644204 | Chief Compliance Officer, Chief AML Compliance Officer |
Beaton, Daniel Stewart CRD#: 4240769 | FINOP / CFO |
Dowd, James Patrick CRD#: 2109413 | President, Executive Rep., H.O. Super |
Licenses
Licensed to operate as a broker dealer in 53 U.S. states and territories:
Other Registrations
- This firm conducts 3 types of business.
- This firm is affiliated with financial and investment institutions.
- This firm does not have referral or financial arrangements with other brokers or dealers.
Additional Information
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule, and notices related to U.S. Securities and Exchange Commission approval orders, are publicly available.
State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.