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Current Employers
Cape Investment Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2021-03-26
  • MD RA
    APPROVED
    Since 2021-03-26

Branch Locations

1362 Mellon Road #100, Hanover, MD 21076 • United States

1600 Pennsylvania Ave., Mcdonough, GA 30253 • 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
Pruco Securities Llc Crofton MD 02/2020 12/2020
Homemaker Severna Park MD 06/2019 01/2020
Navy Marine Corps Relief Society Washington Navy Yard DC 09/2016 05/2019
The Prudential Insurance Company Of America Crofton MD 10/2020 12/2020
Cape Securities, Inc Hanover MD 03/2021 12/2022
Cape Investment Advisory, Inc Hanover MD 03/2021 Present
American Global Wealth Management, Inc. Mcdonough GA 01/2023 Present
  • 02/2020 → 12/2020
    Crofton, MD
  • 06/2019 → 01/2020
    Homemaker
    Severna Park, MD
  • 09/2016 → 05/2019
    Navy Marine Corps Relief Society
    Washington Navy Yard, DC
  • 10/2020 → 12/2020
    The Prudential Insurance Company Of America
    Crofton, MD
  • 03/2021 → 12/2022
    Cape Securities, Inc
    Hanover, MD
  • 03/2021 → Present
    Hanover, MD
  • 01/2023 → Present
    American Global Wealth Management, Inc.
    Mcdonough, GA
Previous Registrations
Other Businesses

TRUECHOICE FINANCIAL GROUP/LONG TERM CARE INSURANCE GROUP (LCTG) POSITION: Financial Advisor since 3/8/2021 involves sale of LTC insurance, fixed annuities, term life insurance and universal life insurance products; ADDRESS: 400 Highway 169 South, Suite 200 St. Louis Park, MN 55426; INVESTMENT RELATED: Yes; NUMBER OF HOURS DURING TRADING: 2-3; NUMBER OF HOURS OUTSIDE TRADING: 2-3 BENEFITS ADVISER GEBA (GOVERNMENT EMPLOYEE BENEFITS ASSOCIATION) AND GEMBA (GOVERNMENT EMPLOYEE MUTUAL BENEFITS ASSOCIATION), 40 HOURS/WEEK, ALL SECURITIES BUSINESS PLACED TROUGH CAPE BROKER/DEALER OR CAPE IA THE MILNER GROUP 922A HURRICAN SHOALS ROAD LAWRENCEVILLE, GA 30043; INSURANCE AGENT SINCE 2/2023; LIFE INSURANCE AND FIXED ANNUITIES PRODUCTS; 10 PER MONTH WITH ALL DURING TRADING HOURS; INVESTMENT RELATED. NOTARY FOR THE STATE OF MARYLAND SINCE 11/12/2024: PROVIDE NOTARY SERVICES ON AN AS NEEDED BASIS AS A FREE SERVICE FOR GEBA MEMBERS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-29
  • S66 Uniform Combined State Law Examination
    2020-08-29
Designations

View on SEC IAPD

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