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Current Employers
Cape Investment Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-01-28
  • MO RA
    APPROVED
    Since 2022-01-28

Branch Locations

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

1550 Wall Street Suite 222, St. Charles, MO 63303 • 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
Century Securities Associates, Inc. St. Charles MO 01/2004 Present
American Global Wealth Management, Inc. Mcdonough GA 01/2022 Present
Cape Investment Advisory, Inc. Mcdonojugh GA 01/2022 Present
  • 01/2004 → Present
    Century Securities Associates, Inc.
    St. Charles, MO
  • 01/2022 → Present
    American Global Wealth Management, Inc.
    Mcdonough, GA
  • 01/2022 → Present
    Mcdonojugh, GA
Previous Registrations
Other Businesses

FIINANCIAL INDEPENDENCE GROUP (FIG) AT 1550 WALL STREET ST. CHARLES MO 63303; POSITION OF AGENT SINCE 1/20222; INVESTMENT RELATED WITH SALES OF INSURANCE AND FIXED ANNUITIES; 40 HOURS PER MONTH DEVOTED TO ACTIVITY WITH 25 HOURS DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-15
S63 Uniform Securities Agent State Law Examination 1990-12-21
  • S65 Uniform Investment Adviser Law Examination
    2000-11-15
  • S63 Uniform Securities Agent State Law Examination
    1990-12-21
Other Names
  • Dan Schlef

View on SEC IAPD

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