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DJ

David H. Jones

CAPE SECURITIES
Mcdonough, GA 30253
Some features on this profile are disabled
CRD#: 2739007
DJ

Professional summary

David Henry Jones is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia.

David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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) - BD

Click below to view David Henry Jones's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 5, 2014 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253
BD
CRD#: 7072
Mcdonough, GA
Past

May 13, 2015 - December 31, 2016

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
LAMAR, CO
Past

April 2, 2002 - May 26, 2009

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
EL PASO, TX
Past

November 24, 2000 - April 17, 2002

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

October 9, 1998 - December 11, 2000

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
SAN FRANCISCO, CA
Past

March 2, 1998 - November 11, 1998

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

October 7, 1997 - March 6, 1998

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY
Past

February 25, 1997 - October 6, 1997

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK

State Registrations and Notice Filings

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

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
Colorado
(5/11/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/10/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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 SECURITIES INC.

CRD#: 7072Mcdonough, GA 30253

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