Robert W. Sayman
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.
Robert Wesley Sayman, who also goes by Bob Sayman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2013 - December 31, 2016
CAPE INVESTMENT ADVISORY, INC.
May 31, 2013 - May 31, 2013
CAPE INVESTMENT ADVISORY, INC.
May 31, 2013 - April 2, 2015
CAPE SECURITIES INC.
August 15, 2011 - June 5, 2013
HARBOR LIGHT INVESTMENT ADVISORS, LLC
June 29, 2011 - June 5, 2013
HARBOR LIGHT SECURITIES, LLC
June 4, 2008 - February 9, 2011
ITS ASSET MANAGEMENT, L.P.
December 31, 2001 - July 13, 2011
PACKERLAND BROKERAGE SERVICES, INC.
December 23, 1997 - July 13, 2011
PACKERLAND BROKERAGE SERVICES, INC.
April 8, 1997 - October 15, 1997
SII INVESTMENTS, INC.
January 15, 1996 - February 28, 1997
SECURITIES AMERICA, INC.
August 24, 1995 - December 31, 1995
SUNPOINT SECURITIES, INC.
October 31, 1994 - July 20, 1995
WMA SECURITIES, INC.
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
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.
