JM
James D. March
CAPE INVESTMENT ADVISORY
MORAGO, CA 94570
Some features on this profile are disabled
CRD#: 2565807
JM
Professional summary
James David March, who also goes by James David March, James March, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Morago, California and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Mcdonough, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James David March | James March
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.
PRESIDENTIAL WORLDWIDE TRANSPORTATION 4770 FOREST ST., UNIT 4 DENVER, CO 80216 DRIVER/CHAUFFEUR SERVICE EFFECTIVE: 09/2016 4 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS INDEPENDENT SOCCER REFEREE USSF 14855 E. 2ND. AVENUE ENGLEWOOD, CO 80011 INDEPENDENT CONTRACTOR EFFECTIVE: 2001 8 HOURS PER MONTH/0 HOURS PER MONTH DURING MARKET HOURS JAMES MARCH/DBA MARCH WEALTH MANAGEMENT 9850 ZENITH MERIDIAN DRIVE, APT. 01-302 ENGLEWOOD, CO 80112 OWNER/DBA, REGISTERTED REPRESENTATIVE FIXED INSURANCE BUSINESS EFFECTIVE: 08/29/2019 160 HOURS PER MONTH/160 HOURS PER MONTH DURING MARKET HOURS INSURANCE SALES HEALTH, LONG TERM CARE, DENTAL INSURANCES 9850 ZENITH MERIDIAN DRIVE #01-302 ENGLEWOOD, CO 80112 SINCE 9/1994 4 HOURS PER MONTH WITH 0 HOURS DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view James David March'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 3, 2023 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 460 Center Street Unit 6714, Morago, CA 94570RIA
CRD#: 146384
MORAGO, CA
Current
January 3, 2023 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7388
Mcdonough, GA
Current
April 8, 2024 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
April 5, 2024 - April 8, 2024
FIRST ASSET FINANCIAL INC.
BD
CRD#: 139107
SALINA, KS
Past
July 1, 2019 - December 31, 2021
CAPITAL SYNERGY PARTNERS
RIA
CRD#: 148733
BRENTWOOD, CA
Past
July 1, 2019 - December 31, 2021
CAPITAL SYNERGY PARTNERS
BD
CRD#: 148733
BRENTWOOD, CA
Past
June 8, 2018 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
June 8, 2018 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
February 23, 2018 - May 15, 2018
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ENGLEWOOD, CO
Past
January 31, 2018 - May 15, 2018
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ENGLEWOOD, CO
Past
May 26, 2015 - November 16, 2017
PFS INVESTMENTS INC.
RIA
CRD#: 10111
SAN DIEGO, CA
Past
May 7, 2015 - November 16, 2017
PFS INVESTMENTS INC.
BD
CRD#: 10111
SAN DIEGO, CA
Past
September 11, 2012 - October 18, 2013
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SAN DIEGO, CA
Past
September 4, 2012 - October 18, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SAN DIEGO, CA
Past
August 31, 2012 - September 11, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN DIEGO, CA
Past
July 28, 2011 - September 11, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
SAN DIEGO, CA
Past
July 28, 2011 - September 7, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SAN DIEGO, CA
Past
February 10, 2010 - July 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN DIEGO, CA
Past
February 10, 2010 - July 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN DIEGO, CA
Past
June 9, 2009 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SAN DIEGO, CA
Past
May 2, 2009 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SAN DIEGO, CA
Past
November 6, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SAN DIEGO, CA
Past
June 11, 2008 - October 16, 2008
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WALNUT CREEK, CA
Past
December 18, 2007 - April 28, 2008
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 10, 2007 - November 27, 2007
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
October 5, 2001 - May 7, 2002
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
July 13, 1999 - July 5, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 21, 1995 - April 28, 1998
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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
California(1/3/2023)
IAR
California(12/21/2023)
RR
Georgia(4/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
Company Information
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384Morago, CA 94570TRUST BUT VERIFY
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