Stephen Eugene Chwalek | Financial Professional

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.

Stephen Eugene Chwalek was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 27, 2013 - October 13, 2021

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

Greenville, SC

Past

April 5, 2012 - October 13, 2021

CAPE SECURITIES INC.

BD

CRD#: 7072

Holtsville, NY

Past

January 3, 2011 - March 7, 2012

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

CORAM, NY

Past

November 13, 2008 - March 7, 2012

FIRST MIDWEST SECURITIES, INC.

BD

CRD#: 21786

CORAM, NY

Past

January 18, 2008 - October 29, 2008

AMERICA'S CHOICE EQUITIES LLC

BD

CRD#: 135272

HAUPPAUGE, NY

Past

December 6, 2004 - February 15, 2008

J.P. TURNER & COMPANY, L.L.C.

BD

CRD#: 43177

MEDFORD, NY

Past

January 21, 2004 - December 17, 2004

LH ROSS & COMPANY, INC.

BD

CRD#: 37920

BOCA RATON, FL

Past

April 18, 2002 - January 16, 2004

GUNNALLEN FINANCIAL, INC

BD

CRD#: 17609

TAMPA, FL

Past

January 15, 2002 - April 26, 2002

METROPOLITAN LIFE INSURANCE COMPANY

BD

CRD#: 4095

NEW YORK, NY

Past

January 15, 2002 - April 26, 2002

MSI FINANCIAL SERVICES, INC.

BD

CRD#: 14251

SPRINGFIELD, MA

Past

September 1, 1999 - June 1, 2001

GLOBAL CAPITAL SECURITIES CORPORATION

BD

CRD#: 16184

ENGLEWOOD, CO

Past

September 3, 1997 - September 7, 1999

SEABOARD SECURITIES, INC.

BD

CRD#: 755

FLORHAM PARK, NJ

Past

June 4, 1997 - August 28, 1997

FIRST COLONIAL SECURITIES

BD

CRD#: 25121

BOCA RATON, FL

Past

March 10, 1997 - June 27, 1997

ROYCE INVESTMENT GROUP, INC.

BD

CRD#: 10494

WOODBURY, NY

Past

March 6, 1997 - March 19, 1997

CONTINENTAL BROKER-DEALER CORP.

BD

CRD#: 14048

CARLE PLACE, NY

Past

September 14, 1996 - March 17, 1997

FIRST ASSET MANAGEMENT, INC.

BD

CRD#: 17341

GARDEN CITY, NY

Past

May 1, 1996 - August 13, 1996

INVESTORS ASSOCIATES, INC.

BD

CRD#: 958

HACKENSACK, NJ

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.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 11/8/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 5/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 55

Date: 3/29/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

RR

Series 7

Date: 4/27/1996

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 4

Date: 5/30/2001

Registered Options Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/14/1999

General Securities Principal Examination

Current Firm

CI

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPE INVESTMENT ADVISORY WRAP BROCHURE (3/19/2025)

CAPE INVESTMENT ADVISORY BROCHURE (3/19/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Stephen E. Chwalek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPE SECURITIES INC.

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

AMERICA'S CHOICE EQUITIES LLC

J.P. TURNER & COMPANY, L.L.C.

LH ROSS & COMPANY, INC.

GUNNALLEN FINANCIAL, INC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

GLOBAL CAPITAL SECURITIES CORPORATION

SEABOARD SECURITIES, INC.

FIRST COLONIAL SECURITIES

ROYCE INVESTMENT GROUP, INC.

CONTINENTAL BROKER-DEALER CORP.

FIRST ASSET MANAGEMENT, INC.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

CAPE INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2010

Series 65

Date: 8/4/2000

Series 63

Date: 5/29/1996

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/29/2001

Series 7

Date: 4/27/1996

Series 4

Date: 5/30/2001

Series 24

Date: 10/14/1999

Current Firm

CAPE INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPE INVESTMENT ADVISORY, INC.

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