HK
Harold J. Knight
CAPE INVESTMENT ADVISORY
SLATINGTON, PA
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CRD#: 4220303
HK
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).
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 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 30253BD
CRD#: 7388
Mcdonough, GA
Current
September 15, 2023 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Current
January 2, 2025 - Present
FIRST ASSET FINANCIAL INC.
Office #1: 110 E. Iron Ave., Salina, KS 67401BD
CRD#: 139107
Salina, KS
Past
May 1, 2023 - May 17, 2023
SHARENETT SECURITIES LLC
BD
CRD#: 151011
NEW YORK, NY
Past
June 15, 2021 - March 17, 2023
CAPE SECURITIES INC.
BD
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.
BD
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.
BD
CRD#: 6694
NAZARETH, PA
Past
July 7, 2017 - August 2, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BETHLEHEM, PA
Past
July 28, 2016 - June 13, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ALLENTOWN, PA
Past
September 19, 2008 - August 7, 2014
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
BETHLEHEM, PA
Past
December 6, 2002 - October 1, 2008
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
BROOKLYN, NY
Past
March 19, 2001 - November 7, 2001
CARTER, TERRY & COMPANY, INC.
BD
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".
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
Delaware(7/2/2025)
RR
Georgia(9/18/2023)
IAR
Georgia(9/18/2023)
RR
Pennsylvania(9/18/2023)
IAR
Pennsylvania(9/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/1/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 5/1/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product 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.
