SP
Samuel B. Phillips
CAPE INVESTMENT ADVISORY
Mcdonough, GA 30253
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CRD#: 2239471
SP
Professional summary
Samuel Bruce Phillips JR is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Mcdonough, Georgia and CAPE SECURITIES INC. located in Mcdonough, Georgia.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) RETIREMENT & WEALTH STRATEGIES - AN UNREGISTERED DBA; FINANCIAL RELATED; SELLING INSURANCE AND INSURANCE BASED PRODUCTS SUCH AS FIXED ANNUITIES, LONG TERM CARE AND LIFE INSURANCE, 40 HOURS PER MONTH; START DATE=09/2011 2) PHOENIX PASS AN ADVOCACY AND INTERVENTION LIFE TRAINING FOR HOMELESS MOTHERS, 541 SIGMAN ROAD NW CONYERS, GA 30013, NOT INVESTMENT RELATED, POSITION OF DIRECTOR ONO BOARD OF DIRECTORS SINCE 6/2018; PARTICIPATES IN THE ONGOING MANAGEMENT OF THE PROGRAM AND ITS FACILITY AND FUND RAISING ACTIVITIES SUCH AS A GOLF TOURNAMENT AND RUNNING VENUE. INVOLVES 2 HOURS PER MONTH DURING TRADING HOURS. NO COMPENSATION RECEIVED. AND DOES NOT HANDLE FUNDS. 3) FLOURISH CASH, NOT INVESTMENT RELATED; 2 PARK AVENUE 11TH FLOOR NEW YORK 10016; REFERRAL FOR INTEREST SAVINGS ACCOUNTS; REFERRAL REP; DEVOTES 3 HOURS PER MONTH WITH 0 HOURS DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Bruce Phillips JR'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
July 7, 2016 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 1600 Pennsylvania Ave., Mcdonough, GA 30253RIA
CRD#: 146384
Mcdonough, GA
Current
July 7, 2016 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
July 30, 2020 - November 18, 2021
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
BD
CRD#: 7388
MCDONOUGH, GA
Past
November 18, 2004 - July 29, 2016
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
COVINGTON, GA
Past
July 27, 2004 - July 29, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
COVINGTON, GA
Past
September 25, 2003 - July 2, 2004
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CONYERS, GA
Past
September 17, 2003 - July 2, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 29, 2003 - October 17, 2003
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CONYERS, GA
Past
May 11, 1993 - October 17, 2003
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, 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
Alabama(7/7/2016)
RR
Arkansas(6/28/2021)
RR
California(7/15/2020)
RR
Florida(11/18/2021)
RR
Georgia(7/7/2016)
IAR
Georgia(9/5/2017)
RR
Indiana(7/17/2020)
RR
Iowa(4/22/2020)
RR
Nebraska(7/17/2020)
RR
Nevada(7/17/2020)
RR
New Jersey(7/17/2020)
RR
North Carolina(1/31/2019)
RR
Pennsylvania(7/15/2020)
RR
Texas(11/18/2021)
RR
Virginia(11/18/2021)
RR
Washington(3/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384Mcdonough, GA 30253TRUST BUT VERIFY
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Contact information
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