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JP

Jeffery P. Paulsen

Some features on this profile are disabled
CRD#: 1411906
JP

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.

Jeffery Paul Paulsen was a registered financial professional .

Jeffery is a previously registered financial professional and started their career in finance in 1985. Jeffery had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

top-8-questions

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.
The advisor shows no other business activity.

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®
None

Experience

Past

February 7, 2019 - December 31, 2020

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

July 17, 2017 - June 15, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
WOODSTOCK, GA
Past

July 12, 2017 - June 15, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
WOODSTOCK, GA
Past

September 30, 2010 - May 22, 2017

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
ATLANTA, GA
Past

September 22, 2010 - May 22, 2017

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
ATLANTA, GA
Past

July 14, 2010 - July 30, 2010

EDWARD JONES

RIA
CRD#: 250
KEIZER, OR
Past

July 9, 2010 - July 30, 2010

EDWARD JONES

BD
CRD#: 250
KEIZER, OR
Past

November 13, 2006 - July 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ATLANTA, GA
Past

November 10, 2006 - July 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ATLANTA, GA
Past

January 1, 1991 - June 6, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
JACKSONVILLE, FL
Past

October 23, 1985 - June 6, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
JACKSONVILLE, FL

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/17/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/17/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/17/2022
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/26/1995
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEBB, JAMES RANDALLCHAIRMAN2089446
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

CAPE SECURITIES INC.

CRD#: 7072

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