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JC

James W. Comstock

Some features on this profile are disabled
CRD#: 600639
JC

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.

James William Comstock was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1973. James had worked at 10 firms and has passed the Series 63, SIE, Series 62, Series 26 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

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

January 16, 2013 - September 14, 2015

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

September 18, 2012 - November 30, 2012

ADVANCED ASSET TRADING, INC

BD
CRD#: 37044
MEMPHIS, TN
Past

May 29, 2009 - November 1, 2010

DREXEL HAMILTON, LLC

BD
CRD#: 143570
NEW YORK, NY
Past

December 19, 2005 - January 5, 2009

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
SAN DIEGO, CA
Past

June 27, 1996 - December 31, 2003

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

April 23, 1996 - May 8, 1996

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
Past

November 7, 1995 - May 7, 1996

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 2, 1983 - November 8, 1995

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
CEDAR RAPIDS, IA
Past

October 20, 1982 - September 9, 1983

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
Past

September 30, 1975 - October 29, 1983

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

January 12, 1973 - January 30, 1975

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

January 12, 1973 - June 22, 1980

OSAIC FA, INC.

BD
CRD#: 3978

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
Series 63
Date: 3/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 10/8/2007
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/18/1997
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 1/9/1973
General Securities Principal Examination

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPE SECURITIES INC.

CRD#: 7072

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