SE
Stephen G. Enochs
CAPE INVESTMENT ADVISORY
Marietta, GA
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CRD#: 2352020
SE
Professional summary
Stephen Greeson Enochs is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Marietta, Georgia and CAPE SECURITIES INC. located in Mcdonough, Georgia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
SELF-BRANDED S. ENOCHS INVESTMENTS LLC/PRESIDENT/40HRS WK DURING TRADING HOURS/INVESTMENT RELATED TRUCHOICE: INSURANCE, FIXED ANNUITIES, EQUITY INDEXED ANNUITIES, FIXED INDEXED ANNUITIES, POSITION OF BROKER SINCE 2012 WITH 3 HOURS PER MONTH DEVOTED TO ACTIVITY DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Greeson Enochs'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
January 22, 2010 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
Marietta, GA
Current
August 21, 2009 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
March 16, 2004 - November 16, 2009
AURA ASSET MANAGEMENT, INC.
RIA
CRD#: 129402
MARIETTA, GA
Past
February 5, 2003 - December 31, 2004
AURA FINANCIAL SERVICES, INC.
RIA
CRD#: 42822
MARIETTA, GA
Past
November 20, 2001 - August 25, 2009
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
Past
August 14, 2000 - November 26, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 10, 1996 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
June 8, 1993 - March 11, 1996
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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
IAR
Alabama(4/20/2021)
IAR
Arizona(10/14/2020)
RR
California(8/21/2009)
IAR
California(4/9/2021)
RR
Colorado(9/1/2015)
IAR
Colorado(6/8/2023)
RR
Florida(8/28/2009)
RR
Georgia(8/21/2009)
IAR
Georgia(1/22/2010)
RR
Kentucky(4/13/2015)
RR
Louisiana(2/12/2019)
RR
Massachusetts(8/25/2009)
RR
New Mexico(5/12/2022)
RR
New York(8/21/2009)
IAR
New York(5/3/2021)
RR
North Carolina(8/21/2009)
IAR
North Carolina(2/9/2018)
RR
South Carolina(1/2/2013)
IAR
Texas(4/22/2021)
RR
West Virginia(1/27/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
