Sally Cody Phillips-rushing | Financial Professional

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.

Sally Cody Phillips-rushing, who also goes by Sally C Phillips, Sally Cody Phillips, Sally Phillips, Sally Phillips-rushing, Sally P Rushing, Sally Rushing, was a registered financial professional .

Sally is a previously registered financial professional and started their career in finance in 2006. Sally had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

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

May 14, 2020 - July 16, 2020

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

Roswell, GA

Past

April 2, 2020 - July 16, 2020

CAPE SECURITIES INC.

BD

CRD#: 7072

MCDONOUGH, GA

Past

December 5, 2012 - April 19, 2018

E*TRADE SECURITIES LLC

BD

CRD#: 29106

ALPHARETTA, GA

Past

December 4, 2012 - April 19, 2018

HARRISDIRECT LLC

RIA

CRD#: 42159

ALPHARETTA, GA

Past

November 20, 2006 - December 23, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ALPHARETTA, GA

Past

October 13, 2006 - December 23, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

ALPHARETTA, 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.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 11/15/2006

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 4/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/12/2006

General Securities Representative Examination

Current Firm

CI

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384 / SEC#: 801-71349

RIA

Registered Investment Advisory firm - (4/29/2010 Approved)

Georgia

Registered Investment Advisory firm - (5/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

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 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.

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Advisor Monitoring

Firm Stability Insights

Sally C. Phillips-rushing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPE SECURITIES INC.

E*TRADE SECURITIES LLC

HARRISDIRECT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPE INVESTMENT ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2006

SIE

Date: 4/19/2018

Series 7

Date: 10/12/2006

Current Firm

CAPE INVESTMENT ADVISORY, INC.

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPE INVESTMENT ADVISORY, INC.

TRUST BUT VERIFY

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