John E. Redfearn
CAPE INVESTMENT ADVISORY
Stockbridge, GA 30281
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CRD#: 2771876
Professional summary
John Earle Redfearn III, CFP® is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Stockbridge, Georgia and CAPE SECURITIES INC. located in Stockbridge, Georgia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 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.
1) UBS SOLICITOR: DECLINING SOLICITOR FEES MR. REDFEARN EARNED WHILE EMPLOYED AT MAG MUTUAL FROM 1996-2005; INVESTMENT RELATED; 0 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS. 2) CENTRAL TEXAS COLLEGE: ADJUNCT FACULTY TEACHING UNDERGRADUATE COURSES WITHIN THE BUSINESS DEPARTMENT; NON-INVESTMENT RELATED; 5 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS. 3) MAG MUTUAL FINANCIAL SERVICES: DECLINING TRAIL AND RENEWAL COMMISSIONS MR. REDFEARN EARNED WHILE EMPLOYED FROM 1996-2005; INVESTMENT RELATED; 0 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view John Earle Redfearn III'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®
CFP®
Start date: 2003
Experience
Current
December 1, 2017 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 827 Fairways Court Suite 202, Stockbridge, GA 30281RIA
CRD#: 146384
Stockbridge, GA
Current
January 8, 2013 - Present
CAPE SECURITIES INC.
Office #1: 827 Fairways Court Suite 202, Stockbridge, GA 30281BD
CRD#: 7072
Stockbridge, GA
Past
November 16, 2020 - September 6, 2024
GLOBAL INVESTMENT ADVISORY
RIA
CRD#: 310305
STOCKBRIDGE, GA
Past
April 30, 2019 - July 2, 2020
FIDUCIARY SOLUTIONS, LLC
RIA
CRD#: 148118
ROSEVILLE, CA
Past
August 14, 2014 - December 31, 2017
FIDUCIARY SOLUTIONS, LLC
RIA
CRD#: 148118
STOCKBRIDGE, GA
Past
April 29, 2013 - November 26, 2013
VORTEX ADVISORY SERVICES, LLC
RIA
CRD#: 164634
ATLANTA, GA
Past
January 16, 2013 - December 31, 2016
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
Stockbridge, GA
Past
May 30, 2012 - May 31, 2012
HEGEMON INVESTMENT ADVISORS, LLC
RIA
CRD#: 160206
ATLANTA, GA
Past
March 22, 2012 - November 30, 2012
ADVANCED ASSET TRADING, INC
RIA
CRD#: 37044
ATLANTA, GA
Past
March 22, 2012 - November 30, 2012
ADVANCED ASSET TRADING, INC
BD
CRD#: 37044
ATLANTA, GA
Past
July 13, 2011 - February 22, 2012
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
June 22, 2011 - February 22, 2012
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
ATLANTA, GA
Past
February 8, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
ATLANTA, GA
Past
February 7, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
BD
CRD#: 18697
ATLANTA, GA
Past
September 14, 2010 - March 14, 2014
BEACON GROUP SERVICES, LLC
RIA
CRD#: 154507
ATLANTA, GA
Past
January 27, 2009 - November 20, 2013
FIDUCIARY SOLUTIONS, LLC
RIA
CRD#: 148118
ATLANTA, GA
Past
January 16, 2007 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
ATLANTA, GA
Past
January 3, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ATLANTA, GA
Past
February 19, 2003 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ATLANTA, GA
Past
August 12, 1996 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
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
RR
Alabama(9/11/2024)
RR
California(1/3/2017)
RR
Colorado(1/26/2022)
RR
Florida(1/5/2017)
RR
Georgia(1/8/2013)
IAR
Georgia(4/2/2018)
RR
North Carolina(1/5/2017)
IAR
North Carolina(3/16/2021)
RR
Texas(8/11/2017)
RR
Virginia(1/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
