Harold J. Knight

CAPE INVESTMENT ADVISORY

SLATINGTON, PA

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CRD#: 4220303

Professional summary

Harold James Knight, who also goes by H. James Knight, Harold J Knight, Harold Knight IV, James Knight, Harold Knight, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Slatington, Pennsylvania and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Mcdonough, Georgia.

Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Harold has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 82TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

H. James Knight | Harold J Knight | Harold Knight Iv | James Knight | Harold Knight

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.

AMGlobe Consulting, LLC.� Regulatory Compliance Consulting for affiliated financial services.�� Position: Compliance Director, Slatington, PA Start Date:�� 12/20/2024, Consulting hours are full time but not necessarily performed during market hours.

CRS (Client Relationship Summary) - RIA

Click below to view Harold James Knight'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 18, 2023 - Present

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

SLATINGTON, PA

Current

September 15, 2023 - Present

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253

CRD#: 7388

Mcdonough, GA

Current

September 15, 2023 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253

CRD#: 7072

Mcdonough, GA

Current

January 2, 2025 - Present

FIRST ASSET FINANCIAL INC.

Office #1: 110 E. Iron Ave., Salina, KS 67401

CRD#: 139107

Salina, KS

Past

May 1, 2023 - May 17, 2023

SHARENETT SECURITIES LLC

CRD#: 151011

NEW YORK, NY

Past

June 15, 2021 - March 17, 2023

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

May 18, 2021 - March 17, 2023

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

Leighton, PA

Past

May 13, 2021 - March 17, 2023

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

CRD#: 7388

MCDONOUGH, GA

Past

January 21, 2020 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Nazareth, PA

Past

April 30, 2019 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NAZARETH, PA

Past

July 7, 2017 - August 2, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

BETHLEHEM, PA

Past

July 28, 2016 - June 13, 2017

PARK AVENUE SECURITIES LLC

CRD#: 46173

ALLENTOWN, PA

Past

September 19, 2008 - August 7, 2014

CADARET, GRANT & CO., INC.

CRD#: 10641

BETHLEHEM, PA

Past

December 6, 2002 - October 1, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

BROOKLYN, NY

Past

March 19, 2001 - November 7, 2001

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Delaware
(7/2/2025)

Georgia
(9/18/2023)

IAR

Georgia
(9/18/2023)

Pennsylvania
(9/18/2023)

IAR

Pennsylvania
(9/18/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 5/1/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 5/1/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 8/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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.