Robert William Busch | Financial Professional

Professional summary

Robert William Busch was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Robert had worked at 17 firms, which includes CAPE INVESTMENT ADVISORY INC., CAPE SECURITIES INC., ADVANCED ASSET TRADING INC, ALLIED BEACON PARTNERS INC., USA FINANCIAL SECURITIES LLC, CONCOURSE FINANCIAL GROUP SECURITIES INC., PRINCIPAL FUNDS DISTRIBUTOR INC., HARBOUR INVESTMENTS INC., TRIAD ADVISORS LLC, FSC SECURITIES CORPORATION, CUNA BROKERAGE SERVICES INC., EDWARD JONES, NYLIFE SECURITIES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., AMERIPRISE FINANCIAL SERVICES LLC, BLINDER ROBINSON & CO. INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Rob Busch | Robert Wiliam Busch

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

January 28, 2013 - May 30, 2013

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

JACKSONVILLE, FL

Past

January 10, 2013 - May 30, 2013

CAPE SECURITIES INC.

BD

CRD#: 7072

MCDONOUGH, GA

Past

April 11, 2012 - October 31, 2012

ADVANCED ASSET TRADING, INC

BD

CRD#: 37044

ATLANTA, GA

Past

November 7, 2011 - February 22, 2012

ALLIED BEACON PARTNERS, INC.

BD

CRD#: 46227

ATLANTA, GA

Past

August 17, 2006 - March 1, 2007

USA FINANCIAL SECURITIES LLC

BD

CRD#: 103857

JACKSONVILLE, FL

Past

September 9, 2003 - March 29, 2006

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD

CRD#: 15708

BIRMINGHAM, AL

Past

May 17, 2000 - September 8, 2003

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD

CRD#: 43261

DES MOINES, IA

Past

August 26, 1999 - February 18, 2000

HARBOUR INVESTMENTS, INC.

BD

CRD#: 19258

MADISON, WI

Past

May 10, 1999 - August 25, 1999

TRIAD ADVISORS LLC

BD

CRD#: 25803

ATLANTA, GA

Past

November 10, 1998 - May 17, 1999

FSC SECURITIES CORPORATION

BD

CRD#: 7461

ATLANTA, GA

Past

August 3, 1995 - October 21, 1998

CUNA BROKERAGE SERVICES, INC.

BD

CRD#: 13941

WAVERLY, IA

Past

April 11, 1995 - July 25, 1995

EDWARD JONES

BD

CRD#: 250

ST. LOUIS, MO

Past

June 14, 1993 - March 22, 1995

CUNA BROKERAGE SERVICES, INC.

BD

CRD#: 13941

WAVERLY, IA

Past

March 4, 1993 - June 21, 1993

NYLIFE SECURITIES LLC

BD

CRD#: 5167

NEW YORK, NY

Past

September 24, 1987 - August 3, 1992

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

NEW YORK, NY

Past

September 24, 1987 - August 3, 1992

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SPRINGFIELD, MA

Past

January 30, 1987 - September 28, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

Past

July 23, 1986 - November 3, 1986

BLINDER, ROBINSON & CO., INC.

BD

CRD#: 5096

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/27/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 7/19/1986

General Securities Representative 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).

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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.

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Advisor Monitoring

Firm Stability Insights

Robert W. Busch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPE SECURITIES INC.

ADVANCED ASSET TRADING, INC

ALLIED BEACON PARTNERS, INC.

USA FINANCIAL SECURITIES LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

HARBOUR INVESTMENTS, INC.

TRIAD ADVISORS LLC

FSC SECURITIES CORPORATION

CUNA BROKERAGE SERVICES, INC.

EDWARD JONES

CUNA BROKERAGE SERVICES, INC.

NYLIFE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

CAPE INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2012

Series 63

Date: 12/27/2011

Series 7

Date: 7/19/1986

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.

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