Gregory P. Klingler
CAPE INVESTMENT ADVISORY
HANOVER, MD 21076
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CRD#: 4641806
Professional summary
Gregory Patrick Klingler, CFP®, who also goes by Greg Klingler, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Hanover, Maryland and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Hanover, Maryland.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gregory has worked at 13 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Klingler
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.
GOVERNMENT EMPLOYEE BENEFIT ASSOCIATION (GEBA) (GEBA IS A NON-PROFIT ORGANIZATION OFFERING GROUP TERM, DENTAL, VISION, TRAVEL, PROFESSIONAL LIABILITY AND GROUP LT DISABILITY INSURANCE) SINCE 3/3/2010. 1362 MELLON ROAD #100 HANOVER, MD 21075; COO, VP OF WEALTH MANAGEMENT WITH THE WEALTH MANAGEMENT DIVISION; INTERACTING DIRECTLY WITH CLIENTS, OVERSEE COMPLIANCE AND IT OF GEBA . DEVOTES 160 HOURS PER MONTH TO ALL PORTIONS OF RESPONSIBILITIES. COMPENSATED THROUGH SALARY AND ANNUAL INCENTIVE. FIXED INSURANCE CONDUCTED THROUGH TRUCHOICE. EXIT COMMUNITY REALTY 4200 FORBES BLVD STE 121 LANHAM, MD 20706; REAL ESTATE AGENT SINCE 2017; BUYS AND SELL HOMES FOR CLIENTS; 2 HOURS PER MONTH DEVOTED TO ACTIVITY WITH NONE DURING TRADING HOURS; COMPENSATED THROUGH COMMISSIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Patrick Klingler'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®
CFP®
Start date: 2017
Experience
Current
May 4, 2010 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 1362 Mellon Road Suite 100, Hanover, MD 21076RIA
CRD#: 146384
HANOVER, MD
Current
January 5, 2023 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1362 Mellon Road Suite 100, Hanover, MD 21076BD
CRD#: 7388
Hanover, MD
Past
April 5, 2010 - December 31, 2024
CAPE SECURITIES INC.
BD
CRD#: 7072
Hanover, MD
Past
July 16, 2009 - April 6, 2010
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
ODENTON, CT
Past
July 15, 2009 - April 6, 2010
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
MILLERSVILLE, MD
Past
October 27, 2008 - June 26, 2009
FINANCIAL WEST GROUP
RIA
CRD#: 16668
NORTHRIDGE, CA
Past
October 27, 2008 - June 26, 2009
FINANCIAL WEST GROUP
BD
CRD#: 16668
NORTHRIDGE, CA
Past
July 12, 2007 - October 29, 2008
MORGAN PEABODY, INC.
BD
CRD#: 38306
SHERMAN OAKS, CA
Past
December 15, 2004 - July 12, 2007
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WOODLAND HILLS, CA
Past
December 15, 2004 - July 12, 2007
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WOODLAND HILLS, CA
Past
November 23, 2004 - December 6, 2004
PARTNERVEST ADVISORY SERVICES LLC
RIA
CRD#: 113621
BRENTWOOD, CA
Past
November 23, 2004 - December 6, 2004
PARTNERVEST SECURITIES, INC.
BD
CRD#: 104134
SANTA BARBARA, CA
Past
August 26, 2003 - December 9, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODLAND HILLS, CA
Past
August 25, 2003 - December 9, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 16, 2003 - June 20, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
COLUMBIA, MD
Past
June 16, 2003 - June 20, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 16, 2003 - June 20, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(1/3/2024)
RR
California(1/5/2023)
RR
Colorado(1/3/2024)
IAR
Colorado(1/3/2024)
IAR
Delaware(3/11/2024)
RR
Florida(1/5/2023)
IAR
Florida(2/15/2024)
IAR
Georgia(5/4/2010)
RR
Georgia(1/5/2023)
RR
Hawaii(1/3/2024)
IAR
Hawaii(1/3/2024)
IAR
Maryland(3/7/2014)
RR
Maryland(1/5/2023)
RR
Massachusetts(11/4/2024)
IAR
North Carolina(6/30/2020)
IAR
Ohio(4/14/2021)
IAR
Pennsylvania(1/3/2024)
IAR
South Carolina(9/21/2022)
IAR
Texas(7/14/2020)
RR
Texas(1/5/2023)
RR
Virginia(1/13/2023)
IAR
Virginia(1/3/2024)
IAR
West Virginia(10/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/5/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
