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Patrick S. Rising

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CRD#: 4441747
PR

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.

Patrick Stephenson Rising was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2001. Patrick had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

January 7, 2011 - April 25, 2016

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
LAWRENCEVILLE, GA
Past

December 7, 2010 - April 25, 2016

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

July 30, 2008 - December 9, 2010

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
LAWRENCEVILLE, GA
Past

July 2, 2008 - December 9, 2010

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
LAWRENCEVILLE, GA
Past

July 16, 2004 - July 8, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
LAWRENCEVILLE, GA
Past

July 16, 2004 - July 8, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
LAWRENCEVILLE, GA
Past

January 24, 2003 - July 15, 2004

TRIAD ADVISORS LLC

RIA
CRD#: 25803
LAWRENCEVILLE, GA
Past

November 2, 2001 - July 15, 2004

TRIAD ADVISORS LLC

BD
CRD#: 25803
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/25/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2001
General Securities Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,769
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.

Company Information

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384

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