ZT
Zohaib Tariq
CAPE INVESTMENT ADVISORY
Jersey City, NJ
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CRD#: 5290948
ZT
Professional summary
Zohaib Tariq is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Jersey City, New Jersey and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Mcdonough, Georgia.
Zohaib is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Zohaib has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Zohaib Tariq'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
January 27, 2025 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
Jersey City, NJ
Current
January 13, 2025 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7388
Mcdonough, GA
Past
July 1, 2024 - September 30, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
New York, NY
Past
June 24, 2024 - September 30, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
New York, NY
Past
October 14, 2022 - April 23, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
New York, NY
Past
October 13, 2022 - April 23, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
New York, NY
Past
October 20, 2021 - April 5, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 6, 2019 - August 20, 2021
SPARTAN CAPITAL SECURITIES, LLC
BD
CRD#: 146251
NEW YORK, NY
Past
October 13, 2017 - November 6, 2019
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
New York, NY
Past
September 20, 2016 - October 17, 2017
FOUR POINTS CAPITAL PARTNERS LLC
BD
CRD#: 43149
NEW YORK, NY
Past
April 8, 2016 - October 14, 2016
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
Austin, TX
Past
January 6, 2016 - March 12, 2016
AVENIR FINANCIAL GROUP
BD
CRD#: 148490
NEW YORK, NY
Past
November 25, 2014 - October 7, 2015
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
Austin, TX
Past
July 16, 2013 - November 24, 2014
FOUR POINTS CAPITAL PARTNERS LLC
BD
CRD#: 43149
NEW YORK, NY
Past
September 15, 2010 - August 6, 2013
COLUMBUS ADVISORY GROUP, LTD.
BD
CRD#: 126331
NEW YORK, NY
Past
October 15, 2009 - September 13, 2010
IAA FINANCIAL LLC
BD
CRD#: 6578
BOCA RATON, FL
Past
February 19, 2007 - June 11, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
BOCA RATON, FL
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
California(2/7/2025)
RR
Florida(2/7/2025)
RR
Louisiana(2/7/2025)
RR
New Jersey(1/13/2025)
IAR
New Jersey(1/27/2025)
RR
New York(2/11/2025)
RR
Pennsylvania(2/7/2025)
RR
Texas(2/7/2025)
RR
Virginia(5/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
