DS
Danny R. Strain
CAPE INVESTMENT ADVISORY
COLUMBUS, GA 31904
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CRD#: 437903
DS
Professional summary
Danny Ray Strain is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Columbus, Georgia and CAPE SECURITIES INC. located in Columbus, Georgia.
Danny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Danny has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 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.
1) ELITE WEALTH MANAGEMENT GROUP, LLC ESTABLISHED 2019, 5624 WHITESVILLE ROAD BLDG A COLUMBUS GA; OWNER, LLC FORMED FOR FIXED INSURANCE SALES; 4-5 HOURS PER MONTH SPENT ON ACTIVITY WITH NONE DURING TRADING HOURS. 2) FIXED INSURANCE SALES AS AN AGENT APPOINTED DIRECTLY WITH GUARDIAN, NATIONWIDE, PROTECTIVE LIFE AND LINCOLN FINANCIAL SINCE 2004; 8-10 HOURS PER MONTH SPENT ON ACTIVITY WITH 2 DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Danny Ray Strain'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 6, 2009 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 5624 Whitesville Road Building A, Columbus, GA 31904RIA
CRD#: 146384
COLUMBUS, GA
Current
November 3, 2008 - Present
CAPE SECURITIES INC.
Office #1: 5624 Whitesville Road Bldg A, Columbus, GA 31904BD
CRD#: 7072
Columbus, GA
Past
July 30, 2007 - November 3, 2008
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
RIA
CRD#: 143384
COLUMBUS, GA
Past
June 30, 2005 - December 31, 2007
RESOURCE HORIZONS GROUP LLC
RIA
CRD#: 104368
COLUMBUS, GA
Past
January 3, 2005 - November 3, 2008
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
COLUMBUS, GA
Past
March 25, 2002 - December 31, 2004
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
January 2, 2001 - March 5, 2002
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
Past
November 18, 1996 - January 16, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
January 1, 1994 - February 2, 1996
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
July 28, 1987 - December 31, 1991
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 2, 1982 - July 29, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
Alabama(11/3/2008)
IAR
Alabama(1/4/2024)
RR
Georgia(11/3/2008)
IAR
Georgia(2/6/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/17/1973
Registered Representative ExaminationSRO 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.
