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JD

Joseph R. Donovan

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CRD#: 5224278
JD

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.

Joseph Richard Donovan, who also goes by Joseph R Donovan, was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph R Donovan

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

November 29, 2011 - May 3, 2022

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
Tucker, GA
Past

November 28, 2011 - May 3, 2022

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

September 29, 2011 - December 31, 2011

PEAK WEALTH GROUP LLC

RIA
CRD#: 150003
ROSWELL, GA
Past

August 23, 2011 - November 29, 2011

PEAK BROKERAGE SERVICES, LLC

BD
CRD#: 157045
JUPITER, FL
Past

July 17, 2009 - August 23, 2011

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
MCDONOUGH, GA
Past

June 15, 2009 - August 23, 2011

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

May 29, 2009 - June 17, 2009

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
TUCKER, GA
Past

May 29, 2009 - June 17, 2009

INVESTACORP, INC.

BD
CRD#: 7684
TUCKER, GA
Past

December 11, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

November 30, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, 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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/7/2006
Uniform Combined 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: 11/29/2006
General Securities Representative Examination

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)
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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 BROCHURE (12/12/2025)
CAPE INVESTMENT ADVISORY WRAP BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts1,769
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.

Company Information

CAPE INVESTMENT ADVISORY, INC.

CRD#: 146384

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