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Current Employers
Cape Investment Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-01-27
  • NJ RA
    APPROVED
    Since 2025-01-27

Branch Locations

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

Jersey City, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Woodstock Financial Group, Inc Woodstock GA 04/2016 09/2016
Four Points Capital Partners Llc New York NY 09/2016 10/2017
Woodstock Financial Group, Inc Woodstock GA 10/2017 11/2019
Spartan Capital Securities, Llc New York NY 11/2019 07/2021
Jpmorgan Chase Bank, N.A. New York NY 08/2021 04/2022
J.P. Morgan Securities Llc New York NY 08/2021 04/2022
Uber New Jersey NJ 04/2022 09/2022
Lyft New Jersey NJ 04/2022 09/2022
Citigroup New York City NY 10/2022 04/2024
Pruco Securities, Llc New York NY 06/2024 09/2024
The Prudential Insurance Company Of America New York NY 06/2024 09/2024
American Global Wealth Management Mcdonough GA 12/2024 Present
  • 04/2016 → 09/2016
    Woodstock Financial Group, Inc
    Woodstock, GA
  • 09/2016 → 10/2017
    Four Points Capital Partners Llc
    New York, NY
  • 10/2017 → 11/2019
    Woodstock Financial Group, Inc
    Woodstock, GA
  • 11/2019 → 07/2021
    Spartan Capital Securities, Llc
    New York, NY
  • 08/2021 → 04/2022
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 08/2021 → 04/2022
    J.P. Morgan Securities Llc
    New York, NY
  • 04/2022 → 09/2022
    Uber
    New Jersey, NJ
  • 04/2022 → 09/2022
    Lyft
    New Jersey, NJ
  • 10/2022 → 04/2024
    Citigroup
    New York City, NY
  • 06/2024 → 09/2024
    New York, NY
  • 06/2024 → 09/2024
    The Prudential Insurance Company Of America
    New York, NY
  • 12/2024 → Present
    American Global Wealth Management
    Mcdonough, GA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-20
S63 Uniform Securities Agent State Law Examination 2007-02-26
  • S66 Uniform Combined State Law Examination
    2022-05-20
  • S63 Uniform Securities Agent State Law Examination
    2007-02-26

View on SEC IAPD

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