GD
Gerald P. Dietz
CAPE INVESTMENT ADVISORY
Addison, TX 75001
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CRD#: 4032865
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Professional summary
Gerald Paul Dietz is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Addison, Texas and CAPE SECURITIES INC. located in Addison , Texas.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gerald has worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.
GP Dietz Financial 7912 Freeland Drive Plano, TX 75025 - Agent through Bell & Associates welling fixed insurance, life insurance and fixed annuities since 2018, 10-15 hours to per month with all during trading hours. Richman College Dallas County Community College District 12800 Abrams Road Dallas TX 75243, College Adjunct Instructor, approx. 8 hrs per week for 6 week, all non-trading hours, non-investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Paul Dietz'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
February 11, 2018 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 15305 Dallas Parkway Suite 1200, Addison, TX 75001RIA
CRD#: 146384
Addison, TX
Current
January 10, 2018 - Present
CAPE SECURITIES INC.
Office #1: 15305 Dallas Parkway Suite 1200, Addison , TX 75001BD
CRD#: 7072
Addison , TX
Current
May 6, 2025 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7388
Mcdonough, GA
Past
November 4, 2016 - December 31, 2017
WBB SECURITIES, LLC
BD
CRD#: 118440
SAN DIEGO, CA
Past
July 21, 2014 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
RIA
CRD#: 10722
Dallas, TX
Past
July 3, 2014 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
BD
CRD#: 10722
Dallas, TX
Past
April 7, 2011 - May 7, 2014
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
MCKINNEY, TX
Past
February 25, 2011 - May 7, 2014
GIRARD SECURITIES, INC.
BD
CRD#: 18697
MCKINNEY, TX
Past
March 25, 2009 - February 11, 2011
QA3 FINANCIAL LLC
RIA
CRD#: 104957
MCKINNEY, TX
Past
February 25, 2009 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
MCKINNEY, TX
Past
April 10, 2006 - January 16, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CARROLLTON, TX
Past
November 11, 2004 - January 16, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CARROLLTON, TX
Past
May 27, 2004 - June 17, 2004
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
May 12, 2004 - June 17, 2004
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
EL PASO, TX
Past
January 16, 2002 - December 6, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
EL PASO, TX
Past
December 10, 2001 - December 6, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(1/16/2019)
RR
Texas(1/10/2018)
IAR
Texas(2/11/2018)
Exams
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
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.
