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Current Employers
Cape Investment Advisory, Inc.

1600 Pennsylvania Ave., Mcdonough, GA 30253 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-21
SC RA APPROVED 2021-04-21
GA RA APPROVED 2009-11-18
  • CA RA
    APPROVED
    Since 2021-04-21
  • SC RA
    APPROVED
    Since 2021-04-21
  • GA RA
    APPROVED
    Since 2009-11-18

Branch Locations

1600 Pennsylvania Ave., Mcdonough, GA 30253 • United States

Hilton Head Island, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cape Securities Inc Mcdonough GA 11/2009 Present
American Global Wealth Management Mcdonough GA 01/2026 Present
  • 11/2009 → Present
    Cape Securities Inc
    Mcdonough, GA
  • 01/2026 → Present
    American Global Wealth Management
    Mcdonough, GA
Previous Registrations
  • 2007-12-11 → 2009-11-16
    Aura Asset Management, Inc.
    Atlanta, GA
    Birmingham, AL
  • 2004-10-12 → 2007-10-04
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
Other Businesses

PROFESSIONAL TENNIS PLAYER; NOT INVESTMENT RELATED; PARTICIPATES IN EXHIBITIONS, MEMBER-GUESTS, PRO-AMS, AND AS A GUEST TENNIS INSTRUCTOR; 1 HOUR PER MONTH, NONE DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-04
S63 Uniform Securities Agent State Law Examination 1997-11-17
  • S65 Uniform Investment Adviser Law Examination
    2004-10-04
  • S63 Uniform Securities Agent State Law Examination
    1997-11-17

View on SEC IAPD

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