Haselkorn & Thibaut has opened an investigation into Brandon Capps (CRD# 4990930), a financial advisor based in Scottsdale, AZ, and registered with Park Avenue Securities LLC. If you are an investor who worked with Mr. Capps or Park Avenue Securities, it’s important to know your rights and understand the details surrounding his background—including any disclosures and recent investor complaints. If you have concerns about your investments, call Haselkorn & Thibaut at 1-888-885-7162 for a confidential, free consultation.
Who Is Brandon Capps? Scottsdale, AZ-Based Advisor at Park Avenue Securities LLC
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Brandon Tanner Capps, with a 20-year career in the financial industry, is actively licensed as both a broker and investment adviser across 34 U.S. states and territories. He operates out of Park Avenue Securities’ offices in Scottsdale, Arizona and Claremont, California, extending his reach nationwide. He maintains a primary broker registration with Park Avenue Securities LLC (CRD# 46173), with his earliest registration dating back to January 6, 2006.
Over his career, Mr. Capps has served at two financial firms, spending less than a year at New England Securities before moving to Park Avenue Securities, where he has maintained a lengthy tenure. This kind of stability can be reassuring to some clients, but there are other factors investors should weigh, particularly regarding his disclosure history.
Professional Qualifications and Licensing
Brandon Capps holds a robust set of financial qualifications, demonstrating that he has met strict industry standards for knowledge and competency:
- Securities Industry Essentials Examination (SIE) – October 1, 2018
- General Securities Representative Examination (Series 7) – February 13, 2009
- Investment Company/Variable Contracts Representative (Series 6) – August 2, 2005
- Uniform Combined State Law Examination (Series 66) – December 1, 2011
- Uniform Securities Agent State Law Exam (Series 63) – August 23, 2005
Currently, he is licensed as both a broker and investment adviser in the following 34 states and territories, enabling him to serve a diverse range of clients across the country:
| State | Broker License | Investment Adviser License |
|---|---|---|
| Alaska | 11/14/2024 | 11/14/2024 |
| Arizona | 02/01/2017 | 02/01/2017 |
| California | 02/08/2013 | 02/22/2013 |
| (31 additional states listed in full report) |
Business Activities and Affiliations
In addition to his main roles at Park Avenue Securities and Guardian Life Insurance, Mr. Capps participates in a variety of other business ventures:
- Velocity Wealth Management, LLC (DBA): 160 hours per month, investment-related
- Insurance Relationships: Holds supplementary licenses with Mass Mutual, Target Insurance, and other insurers
- Kansas Pharmacist Association: Volunteer capacity, non-investment-related
- VibeQuest LLC: Involved with a travel comfort product, not investment-related
This range of activity shows Mr. Capps’ broad engagement in the financial services sector, though investors should always be aware of potential conflicts of interest arising from multiple relationships.
Disclosure History: Red Flags & Complaints
Transparency is vital when choosing a financial adviser. Investors should always review the full BrokerCheck history (see here), as well as read any recent complaints and their resolutions.
Complete List of Complaints: Detailed & Specific
| Date of Complaint | Disclosure Status | Allegations | Product Type | Damages Claimed | Resolution |
|---|---|---|---|---|---|
| 11/01/2024 | Closed – Denied Final Status as of 11/29/2024 |
Clients alleged misrepresentation of performance of advisory products and relayed inaccurate and misleading fee and compensation information. | Insurance; Advisory Account |
$750,000 | Denied No settlement or payment |
Key Details:
- The complaint was made in writing and did not involve arbitration or litigation.
- The resolution resulted in no admission of wrongdoing and no compensation paid to the client.
- The complaint was resolved within one month.
What Does a Denied Disclosure Mean?
A denied claim simply means that the firm did not pay the claim and no wrongdoing was found after their internal review. However, investors should still weigh such events when evaluating an adviser’s record—especially when large sums or alleged misrepresentations are involved.
Should Investors Be Concerned?
While Mr. Capps’ regulatory record shows only one customer dispute, the dollar amount ($750,000) and the nature of the allegations—concerning misrepresentations about performance and fee structure—are meaningful. Even though the claim was denied, investors should be cautious, especially if they feel they were misinformed or promised specific outcomes.
Haselkorn & Thibaut’s ongoing investigation reflects our concern for investor protection and transparency in the advisory profession. If you have worked with Brandon Capps or Park Avenue Securities LLC and have questions about your investments or the advice you received, you are not alone.
What Steps Should Investors Take Next?
If you have concerns about your investments with Mr. Capps or Park Avenue Securities, consider the following:
- Review your account statements for accuracy and look for unexpected fees or unexplained performance issues.
- Document your experience: Keep any written communications and make notes of any oral conversations you had regarding your investments.
- Request a free, confidential consultation with Haselkorn & Thibaut’s investment fraud attorneys.
Haselkorn & Thibaut (investmentfraudlawyers.com) is a national law firm focusing on securities fraud, with over 50 years of experience, a 98% success rate, and millions recovered for clients. There is no fee unless we recover money for you. Call 1-888-885-7162 now for your free consultation.
Why Investors Choose Haselkorn & Thibaut
- National presence, extensive experience, and a proven track record in representing investors.
- No recovery, no fee: You pay nothing unless we recover damages on your behalf.
- Personal, confidential service: Every client receives one-on-one attention from seasoned securities litigators.
Contact Haselkorn & Thibaut Today
Do not wait if you have questions or concerns about your account, potential misrepresentations, or losses experienced with Brandon Capps or Park Avenue Securities LLC. Take the first step toward clarity and peace of mind—contact Haselkorn & Thibaut at 1-888-885-7162 for your free case review.
