PJ
Paul J. Jacobs
CAPE INVESTMENT ADVISORY
PRESCOTT VALLEY, AZ
Some features on this profile are disabled
CRD#: 4658235
PJ
Professional summary
Paul Joseph Jacobs is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Prescott Valley, Arizona and CAPE SECURITIES INC. located in Prescott Valley , Arizona.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 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) DBA JACOBS WEALTH PLANNING, INC.; INVESTMENT RELATED BUSINESS- However, only a dba as all investment related transactions are processed through Cape Securities the B/D. 401 Congress Ave, Suite 1540, Austin TX 78701 President/CEO since 2008. 20 hours per month. Again only a dba so all hours devoted are hours devoted to Cape Securities 2) FIG/Cape Insurance Solutions - Insurance Agent since 2017; fixed and variable insurance, 1221 S. Congress Ave Unit 812 Austin TX 78704, Devotes 10 hours per month with 10 hours during trading hours, Commission based compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Joseph Jacobs'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
April 6, 2017 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
PRESCOTT VALLEY, AZ
Current
February 16, 2017 - Present
CAPE SECURITIES INC.
BD
CRD#: 7072
Prescott Valley , AZ
Past
January 8, 2014 - August 5, 2016
CALDWELL INTERNATIONAL SECURITIES
RIA
CRD#: 104323
AUSTIN, TX
Past
October 25, 2013 - July 29, 2016
CALDWELL INTERNATIONAL SECURITIES
BD
CRD#: 104323
AUSTIN, TX
Past
August 15, 2012 - August 29, 2012
CALDWELL INTERNATIONAL SECURITIES
RIA
CRD#: 104323
FISCHER, TX
Past
August 15, 2012 - September 19, 2012
CALDWELL INTERNATIONAL SECURITIES
BD
CRD#: 104323
NASSAU,
Past
December 9, 2011 - August 16, 2012
VERITRUST FINANCIAL, LLC
RIA
CRD#: 106594
AUSTIN, TX
Past
December 2, 2011 - August 16, 2012
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
February 1, 2011 - December 7, 2011
WADDELL & REED
RIA
CRD#: 866
AUSTIN, TX
Past
January 10, 2011 - December 7, 2011
WADDELL & REED
BD
CRD#: 866
AUSTIN, TX
Past
August 30, 2010 - January 7, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AUSTIN, TX
Past
August 30, 2010 - January 7, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AUSTIN, TX
Past
September 29, 2008 - July 29, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
AUSTIN, TX
Past
September 26, 2008 - July 29, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
AUSTIN, TX
Past
June 7, 2007 - September 26, 2008
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
ODESSA, TX
Past
June 7, 2007 - September 26, 2008
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
ODESSA, TX
Past
July 17, 2006 - June 13, 2007
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SAN ANTONIO, TX
Past
April 25, 2006 - June 13, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN ANTONIO, TX
Past
July 18, 2003 - April 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN ANTONIO, TX
Past
June 27, 2003 - April 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
THE WOODLANDS, TX
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(12/19/2018)
IAR
Arizona(11/18/2022)
RR
California(8/21/2018)
RR
Colorado(6/3/2020)
RR
Georgia(12/5/2018)
RR
Minnesota(8/22/2018)
RR
Montana(12/20/2018)
RR
Nevada(2/27/2019)
RR
Texas(4/6/2017)
IAR
Texas(4/6/2017)
RR
Wyoming(1/8/2024)
Exams
State Security Law Exam
General 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
