Brian Lon Biederman, CFP | Financial Professional

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.

Brian Lon Biederman, CFP® was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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. Volunteer Board member and Assistant Kitchen Manager at Congregation Sha'arei Israel Orthodox Synagogue/Chabad Center of Raleigh. Not investment related. 7400 Falls of Neuse Road Raleigh, NC 27615. Religious organization, started Jan 1995. Hours vary but no more than 10 per month, up to 4 during securities hours. Sometimes cooking during business trading hours. Participate in monthly board meetings. Organize events requiring food service. Purchase, prepare and serve. No compensation. 2. Owner of Advanced Financial Concepts. Insurance sales of fixed and index life insurance and annuities. 8404 Six Forks Road, Ste 204, Raleigh, NC 27615. Started in June 1997. Up to 20 hours a month in trading hours. Compensated by sales commission. 3. Member and team leader of Raleigh Cary Chevra Kadisha. Jewish community association. 1701 E Millbrook Rd, Raleigh, NC 27609. Member since Jan 2008. Up to 4 hours a month, none during trading hours. Leader of a volunteer team that prepares deceased Jewish men for burial. No compensation. 4. Volunteer Treasurer for Libertarian Party Candidate for State office. There are no fundraisers. Spend about 2 hours per quarter during securities hours preparing campaign finance reports. Started March 2016. Nelson 4 NC 2223 Spacious Skies Street Raleigh, NC 27614. Most work is done from my home or office.

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^®

BD

CRD#: 16546

ATLANTA, GA

Past

July 13, 1987 - December 5, 1988

LPL FINANCIAL LLC

BD

CRD#: 6413

Past

February 27, 1984 - May 29, 1987

FORESTERS FINANCIAL SERVICES, INC.

BD

CRD#: 305

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".

CI

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CI

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1600 Pennsylvania Ave., Mcdonough, GA 30253

Mailing Address

Phone number

(678) 583-1120

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPE INVESTMENT ADVISORY WRAP BROCHURE (3/19/2025)

CAPE INVESTMENT ADVISORY BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,769
AUM (Assets Under Management)	$ 402,413,992

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian L. Biederman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPE SECURITIES INC.

MONEY CONCEPTS CAPITAL CORP

INNOVATION PARTNERS LLC

INNOVATION PARTNERS LLC

IP FINANCIAL ADVISORY SERVICES LLC

INFINITY FINANCIAL SERVICES ADVISORY

INFINITY FINANCIAL SERVICES

INFINITY FINANCIAL SERVICES

ADIRONDACK TRADING GROUP LLC

RIDGEWAY CONGER ADVISORY SERVICES

SB ADVISORY, LLC

IFS SECURITIES

IFS SECURITIES

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

LPL FINANCIAL LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CAPE INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Series 6

Date: 2/23/1984

Series 26

Date: 11/26/1985

Current Firm

CAPE INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPE INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

Similar Advisors