Dora E Siegferth | 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.

Dora E Siegferth, who also goes by Dora Elaine Cline, Dora Cline, Dora Elaine Gospodinsky, Dora E Siegferth, Dora Elaine Siegferth Mrs, Dora Elaine Siegferth, Dee Siegferth, was a registered financial professional .

Dora is a previously registered financial professional and started their career in finance in 1999. Dora had worked at 13 firms and has passed the Series 66, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

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) 1st Responders Financial Advisors-1270 S. Cleveland Massillon Rd, Copley, OH 44321; Investment related; Securities & Insurance sales & svcs for new clients; Representative/Financial Advisor; Start date 8/2018; 40 hrs/mnth & during trading. 2) The Milestone Center-104 Third St. NW Suite 103,Barberton OH 44203; Investment related; Insurance & Investments sales & svcs and estate planning for existing clients; President/CEO; Start date 1/03; 160 hrs/mnth & during trading.

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

October 9, 2019 - December 2, 2022

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

Barberton, OH

Past

July 11, 2019 - October 25, 2022

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

BD

CRD#: 7388

BARBERTON, OH

Past

August 30, 2018 - July 9, 2019

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Copley, OH

Past

August 30, 2018 - July 9, 2019

PLANMEMBER SECURITIES CORPORATION

BD

CRD#: 11869

Copley, OH

Past

June 19, 2017 - December 14, 2018

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

Akron, OH

Past

June 16, 2017 - August 29, 2018

CAPE SECURITIES INC.

BD

CRD#: 7072

MCDONOUGH, GA

Past

March 28, 2012 - May 5, 2014

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

AKRON, OH

Past

October 27, 2011 - December 6, 2019

ADVANCED STRATEGIES INC.

RIA

CRD#: 121343

HURON, OH

Past

August 28, 2006 - June 7, 2017

WALL STREET STRATEGIES, INC.

BD

CRD#: 31268

AKRON, OH

Past

October 1, 2004 - August 28, 2006

FORTUNE FINANCIAL SERVICES, INC.

BD

CRD#: 42150

NEW BRIGHTON, PA

Past

September 12, 2002 - September 29, 2004

BLUE VASE SECURITIES, LLC

RIA

CRD#: 46765

DOYLESTOWN, OH

Past

April 29, 2002 - September 29, 2004

BLUE VASE SECURITIES, LLC

BD

CRD#: 46765

WASHINGTON, PA

Past

April 10, 2001 - May 13, 2002

BRECEK & YOUNG ADVISORS, INC.

BD

CRD#: 40395

FOLSOM, CA

Past

February 21, 2001 - March 6, 2001

DONAHUE SECURITIES, INC.

BD

CRD#: 24330

CINCINNATI, OH

Past

July 14, 2000 - February 28, 2001

LEGACY FINANCIAL SERVICES, INC.

BD

CRD#: 38697

PETALUMA, CA

Past

June 3, 1999 - October 12, 1999

1717 CAPITAL MANAGEMENT COMPANY

BD

CRD#: 4082

NEWARK, DE

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: 7/17/1999

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 6/2/1999

Investment Company Products/Variable Contracts Representative 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

Dora E. Siegferth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

CAPE INVESTMENT ADVISORY, INC.

CAPE SECURITIES INC.

PROSPERITY CAPITAL ADVISORS

ADVANCED STRATEGIES INC.

WALL STREET STRATEGIES, INC.

FORTUNE FINANCIAL SERVICES, INC.

BLUE VASE SECURITIES, LLC

BLUE VASE SECURITIES, LLC

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

LEGACY FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CAPE INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/17/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 6/2/1999

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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