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KB

Kenneth R. Bailey

CAPE SECURITIES
Mcdonough, GA 30253
Some features on this profile are disabled
CRD#: 4956818
KB

Professional summary

Kenneth Ray Bailey, who also goes by Ken Ray Bailey, Kenny Ray Bailey, is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2005. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Ray Bailey | Kenny Ray Bailey

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 Kenneth Ray Bailey'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

March 17, 2011 - Present

CAPE SECURITIES INC.

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

May 7, 2012 - November 14, 2025

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
Baiting Hallow, NY
Past

October 7, 2010 - January 3, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
MEDFORD, NY
Past

November 28, 2007 - January 3, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
MEDFORD, NY
Past

April 21, 2006 - November 12, 2007

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
SELDEN, NY
Past

July 6, 2005 - March 8, 2006

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
HOLBROOK, NY

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
New York
(3/17/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2005
General Securities Representative 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#
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.

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Company Information

CAPE SECURITIES INC.

CRD#: 7072Mcdonough, GA 30253

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