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WV

Wyatt E. Vaught

CAPE SECURITIES
Mcdonough, GA 30253
Some features on this profile are disabled
CRD#: 453858
WV

Professional summary

Wyatt Edward Vaught JR, who also goes by Wyatt Eddie Vaught Jr, is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia.

Wyatt is registered as a RR (Registered Representative) and started their career in finance in 1967. Wyatt has worked at 12 firms and has passed the Series 6TO, SIE, Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wyatt Eddie Vaught Jr

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) - BD

Click below to view Wyatt Edward Vaught JR'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

May 18, 2010 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253
BD
CRD#: 7072
Mcdonough, GA
Past

July 13, 2009 - May 21, 2010

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
ROSWELL, GA
Past

May 4, 1992 - July 15, 2009

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ROSWELL, GA
Past

April 17, 1991 - December 31, 1991

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

February 23, 1984 - December 14, 1989

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

January 11, 1984 - September 24, 1984

AER INVESTMENTS INC

BD
CRD#: 11822
Past

March 16, 1982 - July 7, 1982

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

November 20, 1981 - March 4, 1982

HDA SERVICE CORPORATION

BD
CRD#: 6145
Past

November 17, 1976 - February 21, 1980

FINANCIAL RESEARCH COMPANY

BD
CRD#: 7163
Past

August 2, 1976 - October 24, 1976

CAPITOL SECURITIES COMPANY

BD
CRD#: 5820
Past

May 3, 1974 - September 2, 1977

INTERNATIONAL SECURITIES CORP.

BD
CRD#: 430
Past

March 2, 1967 - April 6, 1974

FINANCIAL SERVICE CORP

BD
CRD#: 1000002

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Colorado
(5/3/2011)
RR
Florida
(6/17/2010)
RR
Georgia
(6/21/2010)

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/2/1966
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 4/19/1978
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEBB, JAMES RANDALLCHAIRMAN2089446
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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 SECURITIES INC.

CRD#: 7072Mcdonough, GA 30253

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