James F. Cape

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CRD#: 1156077

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Franklin Cape, CFP®, who also goes by Frank Cape, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Inheritance

Comprehensive Financial Planni...

Investment Planning

Insurance Planning

Education Planning

Estate Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

Frank Cape

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Name of Business: Cape Financial Group, LLC Address: 2345 E Mason St, Green Bay, WI, 54302, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/10/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Cape Financial Group, LLC independant branch of Raymond James (2)Name of Business: Highland Crest Baptist Church Address: 1830 S Military Ave, Green Bay, WI, 54304, United States Activity Type: Religious Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 11/01/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Review and monitor church finances. I am also on the ministry expansion committee which is tasked to do fundraising for the new building addition (3)Name of Business: Lake Edge Wealth Advisors Address: 2345 E Mason St, Green Bay, WI, 54302-3764, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/01/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: consulting (4)Name of Business: Winter Glen Properties, LLC Address: 2345 E Mason St, Green Bay, WI 54302, Green Bay, WI, 54302, United States Activity Type: Private Investment/Private Securities Transaction(PST) Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/10/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own the property Cape Financial Group rents

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Past

February 21, 2012 - October 21, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREEN BAY, WI

Past

February 10, 2012 - October 21, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREEN BAY, WI

Past

July 25, 2006 - February 13, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GREEN BAY, WI

Past

July 25, 2006 - February 13, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GREEN BAY, WI

Past

September 10, 1991 - July 26, 2006

B. C. ZIEGLER AND COMPANY

CRD#: 61

GREEN BAY, WI

Past

July 10, 1990 - September 13, 1991

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

July 25, 1985 - January 18, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 12, 1983 - August 16, 1985

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/6/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/1998

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James F. Cape

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

B. C. ZIEGLER AND COMPANY

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

INVEST FINANCIAL CORPORATION

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/1997

Series 63

Date: 8/6/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

Series 6

Date: 8/6/1983

Series 24

Date: 2/26/1998

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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