JW
James R. Webb
CAPE INVESTMENT ADVISORY
MCDONOUGH, GA 30253
Some features on this profile are disabled
CRD#: 2089446
JW
Professional summary
James Randall Webb, who also goes by Jim R Webb, Jim Webb, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Mcdonough, Georgia and GLOBAL INVESTMENT ADVISORY located in Mcdonough, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 21 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 28, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim R Webb | Jim Webb
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. Beneficial owner of all affiliated companies owned by American Global Wealth Services, Inc.; 2. Owner and CFO of Cape Insurance Solutions; 3. Beneficial owner of Cape Securities, Inc. and Cape Investment Advisory, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view James Randall Webb's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 4, 2008 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 2005 Pennsylvania Ave, Mcdonough, GA 30253RIA
CRD#: 146384
MCDONOUGH, GA
Current
February 9, 2023 - Present
GLOBAL INVESTMENT ADVISORY
Office #1: 1600 Pennsylvania Ave, Mcdonough, GA 30253RIA
CRD#: 310305
MCDONOUGH, GA
Current
December 5, 2007 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Current
February 21, 2017 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7388
Mcdonough, GA
Current
August 25, 2022 - Present
FIRST ASSET FINANCIAL INC.
Office #1: 110 E. Iron Ave., Salina, KS 67401Office #2: 1600 Pennsylvania Ave., Mcdonough, GA 30253BD
CRD#: 139107
Salina, KS
Current
October 23, 2024 - Present
WALL STREET CAPITAL CORPORATION
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 13847
MCDONOUGH, GA
Past
May 3, 2019 - December 31, 2020
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
MCDONOUGH, GA
Past
March 20, 2018 - September 20, 2019
D. BORAL CAPITAL
BD
CRD#: 103792
McDonough, GA
Past
August 30, 2007 - November 29, 2007
AURA ASSET MANAGEMENT, INC.
RIA
CRD#: 129402
MCDONOUGH, GA
Past
June 13, 2007 - November 29, 2007
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
Past
June 13, 2006 - May 16, 2007
PACIFIC CORNERSTONE CAPITAL INCORPORATED
BD
CRD#: 40397
IRVINE, CA
Past
April 18, 2005 - May 22, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
RIA
CRD#: 7110
COLUMBUS, OH
Past
April 14, 2005 - May 22, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 4, 2004 - December 17, 2004
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
September 18, 2003 - December 17, 2004
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
February 13, 2001 - July 10, 2003
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
Past
August 16, 2000 - February 27, 2001
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
May 17, 1998 - February 24, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
March 24, 1994 - May 4, 1998
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
September 18, 1991 - February 28, 1994
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
September 27, 1990 - September 5, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 27, 1990 - September 5, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
ACCG | US VETWEALTH | TRINITY STREET FINANCIAL | THE MILESTONE CENTER | TANNER INVESTMENT GROUP | SKYVIEW WEALTH | SEQUOIA ADVISORY SERVICES | SARASOTA FINANCIAL GROUP, INC. | S. ENOCHS INVESTMENTS LLC | ROBERTS FINANCIAL PARTNERS GROUP | RIA MATCH | RETIREMENT AND WEALTH STRATEGIES | RETIRE BY DESIGN | PARADIGM FINANCIAL GROUP LLC | MD PLANNING GROUP | MARCH WEALTH MANAGEMENT | KEEPING YOU RETIRED AKA ADVANCED FINANCIAL SERVICES | KEEGAN WEALTH MANAGEMENT | JACOBS WEALTH PLANNING, INC. | INVESTMENT FIDUCIARY PLANNERS, LLC | HERITAGE PLANNING GROUP P.C. | GPDIETZ FINANCIAL | GLACIER WEALTH MANAGEMENT | GEBA WEALTH MANAGEMENT | FINANCIAL NSIGHTS INC | DEES WEALTH MANAGEMENT | CMA FINANCIAL SERVICES | CAPITAL CHOICE ADVISORS | CAPE INVESTMENT ADVISORY, INC. | BLUEPRINT FINANCIAL SOLUTIONS | BARBER LACKEY FINANCIAL GROUP | BABB FINANCIAL GROUP | APEX CAPITAL ADVISING LLC | AMERICAN GLOBAL ADVISORY SERVICES | ADVANTAGE ADVISORY GROUP
CRD#: 146384 / SEC#: 801-71349
RIA
Registered Investment Advisory firm - (4/29/2010 Approved)Georgia
Registered Investment Advisory firm - (5/25/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/29/2021)
RR
Arizona(11/27/2012)
RR
California(2/12/2013)
RR
District of Columbia(7/25/2016)
RR
Florida(8/5/2009)
RR
Georgia(12/5/2007)
IAR
Georgia(4/4/2008)
RR
Hawaii(12/15/2022)
RR
Indiana(9/21/2009)
RR
Iowa(11/20/2008)
IAR
Louisiana(10/3/2024)
RR
Maryland(11/29/2021)
RR
Massachusetts(5/2/2017)
RR
Missouri(1/2/2025)
RR
Montana(3/24/2014)
RR
Nevada(12/13/2021)
RR
New Jersey(11/29/2021)
RR
New York(9/9/2015)
RR
North Carolina(2/13/2009)
RR
Ohio(11/4/2008)
RR
Oklahoma(3/23/2021)
RR
Oregon(8/29/2018)
RR
South Carolina(11/14/2012)
RR
South Dakota(10/16/2025)
IAR
Texas(9/16/2024)
RR
Vermont(11/30/2021)
RR
Virginia(8/26/2015)
RR
Washington(9/8/2015)
RR
Wisconsin(3/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 9/17/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/9/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CI
CAPE INVESTMENT ADVISORY, INC.
ACCG | US VETWEALTH | TRINITY STREET FINANCIAL | THE MILESTONE CENTER | TANNER INVESTMENT GROUP | SKYVIEW WEALTH | SEQUOIA ADVISORY SERVICES | SARASOTA FINANCIAL GROUP, INC. | S. ENOCHS INVESTMENTS LLC | ROBERTS FINANCIAL PARTNERS GROUP | RIA MATCH | RETIREMENT AND WEALTH STRATEGIES | RETIRE BY DESIGN | PARADIGM FINANCIAL GROUP LLC | MD PLANNING GROUP | MARCH WEALTH MANAGEMENT | KEEPING YOU RETIRED AKA ADVANCED FINANCIAL SERVICES | KEEGAN WEALTH MANAGEMENT | JACOBS WEALTH PLANNING, INC. | INVESTMENT FIDUCIARY PLANNERS, LLC | HERITAGE PLANNING GROUP P.C. | GPDIETZ FINANCIAL | GLACIER WEALTH MANAGEMENT | GEBA WEALTH MANAGEMENT | FINANCIAL NSIGHTS INC | DEES WEALTH MANAGEMENT | CMA FINANCIAL SERVICES | CAPITAL CHOICE ADVISORS | CAPE INVESTMENT ADVISORY, INC. | BLUEPRINT FINANCIAL SOLUTIONS | BARBER LACKEY FINANCIAL GROUP | BABB FINANCIAL GROUP | APEX CAPITAL ADVISING LLC | AMERICAN GLOBAL ADVISORY SERVICES | ADVANTAGE ADVISORY GROUP
CRD#: 146384 / SEC#: 801-71349
RIA
Registered Investment Advisory firm - (4/29/2010 Approved)Georgia
Registered Investment Advisory firm - (5/25/2010 Terminated)Upgrade to AdvisorCheck Premium
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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)
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.
