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Current Employers
Cape Investment Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-05-06
CO RA APPROVED 2023-06-08
NY RA APPROVED 2021-05-03
TX RA APPROVED_RES 2021-04-22
AL RA APPROVED 2021-04-20
CA RA APPROVED 2021-04-09
AZ RA APPROVED 2020-10-14
NC RA APPROVED 2018-02-09
GA RA APPROVED 2010-01-22
  • FL RA
    APPROVED
    Since 2026-05-06
  • CO RA
    APPROVED
    Since 2023-06-08
  • NY RA
    APPROVED
    Since 2021-05-03
  • TX RA
    APPROVED_RES
    Since 2021-04-22
  • AL RA
    APPROVED
    Since 2021-04-20
  • CA RA
    APPROVED
    Since 2021-04-09
  • AZ RA
    APPROVED
    Since 2020-10-14
  • NC RA
    APPROVED
    Since 2018-02-09
  • GA RA
    APPROVED
    Since 2010-01-22

Branch Locations

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

Marietta, GA • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Cape Securities Inc Mcdonough GA 08/2009 Present
Cape Investment Advisory Mcdonough GA 11/2009 Present
American Global Wealth Management Mcdonough GA 01/2026 Present
  • 08/2009 → Present
    Cape Securities Inc
    Mcdonough, GA
  • 11/2009 → Present
    Cape Investment Advisory
    Mcdonough, GA
  • 01/2026 → Present
    American Global Wealth Management
    Mcdonough, GA
Previous Registrations
  • 2004-03-16 → 2009-11-16
    Aura Asset Management, Inc.
    Marietta, GA
  • 2003-02-05 → 2004-12-31
    Aura Financial Services, Inc.
    Atlanta, GA
    Birmingham, AL
    Marietta, GA
    Birmingham, AL
Other Businesses

SELF-BRANDED S. ENOCHS INVESTMENTS LLC/PRESIDENT/40HRS WK DURING TRADING HOURS/INVESTMENT RELATED TRUCHOICE: INSURANCE, FIXED ANNUITIES, EQUITY INDEXED ANNUITIES, FIXED INDEXED ANNUITIES, POSITION OF BROKER SINCE 2012 WITH 3 HOURS PER MONTH DEVOTED TO ACTIVITY DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-05-04
S63 Uniform Securities Agent State Law Examination 1993-06-09
  • S65 Uniform Investment Adviser Law Examination
    2026-05-04
  • S63 Uniform Securities Agent State Law Examination
    1993-06-09

View on SEC IAPD

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