EB
Edward R. Brooks
CAPE INVESTMENT ADVISORY
Cumming, GA 30041
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CRD#: 3201418
EB
Professional summary
Edward Reese Brooks III, who also goes by Ed Brooks, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Cumming, Georgia and CAPE SECURITIES INC. located in Mcdonough, Georgia.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Brooks
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) J T STRATFORD, AGENT/REP, INDEPENDENT INSURANCE SALES,COMMENCED 12/1999, 0% TIME SPENT, 0% OWNERSHIP, Trailer Commission only no longer soliciting business. 2) EDWARD R. BROOKS, LLC, OWNER, ACCOUNTING & TAX PREPARATION, 7/1997, 50% TIME SPENT, 100% OWNERSHIP 3) BAGWELL INSURANCE GROUP 2041 MEMORIAL PARK DRIVE GAINESVILLE, GA 30504; INSURANCE AGENT SINCE 1/2013; SALES; 1 HOUR PER MONTH DEVOTED WITH NONE DURING TRADING HOURS. $0 COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Reese Brooks 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®
NoneExperience
Current
September 27, 2010 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 1940 Ridge Gate Drive, Cumming, GA 30041RIA
CRD#: 146384
Cumming, GA
Current
August 23, 2010 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
June 24, 2009 - August 25, 2010
SPC
RIA
CRD#: 110692
LAWRENCEVILLE, GA
Past
May 14, 2009 - August 25, 2010
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
LAWRENCE, GA
Past
January 8, 2009 - May 13, 2009
TRIAD ADVISORS LLC
RIA
CRD#: 25803
GAINESVILLE, GA
Past
August 18, 2005 - December 31, 2008
J.T. STRATFORD ADVISORS, LLC
RIA
CRD#: 135447
GAINESVILLE, GA
Past
February 17, 2005 - October 7, 2005
TRIAD ADVISORS LLC
RIA
CRD#: 25803
GAINESVILLE, GA
Past
February 17, 2005 - May 13, 2009
TRIAD ADVISORS LLC
BD
CRD#: 25803
GAINESVILLE, GA
Past
May 2, 2003 - February 23, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
GAINESVILLE, GA
Past
January 11, 2002 - February 23, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
August 26, 1999 - December 31, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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(11/26/2018)
RR
Florida(8/23/2010)
RR
Georgia(8/23/2010)
IAR
Georgia(9/27/2010)
RR
North Carolina(9/20/2010)
RR
South Carolina(10/6/2025)
IAR
South Carolina(10/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384Cumming, GA 30041TRUST BUT VERIFY
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