EE
Eric J. Edwards
CAPE INVESTMENT ADVISORY
HANOVER, MD 21076
Some features on this profile are disabled
CRD#: 6166096
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Professional summary
Eric Joseph Edwards is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Hanover, Maryland and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Hanover, Maryland.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Eric has worked at 7 firms and has passed the Series 66, 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.
BENEFITS ADVISER GEBA (GOVERNMENT EMPLOYEE BENEFITS ASSOCIATION) AND GEMBA (GOVERNMENT EMPLOYEE MUTUAL BENEFITS ASSOCIATION), 40 HOURS/WEEK, ALL SECURITIES BUSINESS PLACED TROUGH CAPE BROKER/DEALER OR CAPE IA. TRUECHOICE FINANCIAL 7111 FAIRWAY DRIVE ST 205 PALM GARDENS, FL 33418, ADVISOR FOR INSURANCE (UL, TL) AND ANNUITIES (FIXED AND INDEXED) SINCE 2/2020; DEVOTES 25-30 HOURS WITH 10 HOURS DURING TRADING HOURS; COMPENSATED THROUGH GEBA.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Joseph Edwards'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
February 25, 2020 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 1362 Mellon Road Suite 100, Hanover, MD 21076RIA
CRD#: 146384
HANOVER, MD
Current
January 5, 2023 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1362 Mellon Road Suite 100, Hanover, MD 21076BD
CRD#: 7388
Hanover, MD
Past
February 24, 2020 - January 2, 2023
CAPE SECURITIES INC.
BD
CRD#: 7072
Hanover, MD
Past
January 25, 2018 - October 3, 2019
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Baltimore, MD
Past
January 25, 2018 - October 3, 2019
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Baltimore, MD
Past
January 29, 2016 - January 19, 2018
M&T SECURITIES, INC.
RIA
CRD#: 17358
OWINGS MILLS, MD
Past
January 29, 2016 - January 19, 2018
M&T SECURITIES, INC.
BD
CRD#: 17358
OWINGS MILLS, MD
Past
July 8, 2013 - October 9, 2015
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
OWINGS MILLS, MD
Past
May 22, 2013 - October 9, 2015
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
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
Arizona(1/3/2024)
RR
Colorado(1/3/2024)
IAR
Colorado(1/3/2024)
IAR
Delaware(3/12/2024)
RR
Florida(1/5/2023)
IAR
Florida(2/2/2024)
RR
Georgia(1/5/2023)
IAR
Georgia(1/5/2024)
IAR
Hawaii(8/3/2022)
RR
Hawaii(1/3/2024)
IAR
Maryland(2/25/2020)
RR
Maryland(1/5/2023)
IAR
North Carolina(5/19/2021)
RR
North Carolina(8/6/2024)
IAR
Ohio(3/7/2023)
IAR
Pennsylvania(1/3/2024)
IAR
South Carolina(9/21/2022)
RR
South Carolina(10/6/2025)
IAR
Texas(7/14/2020)
RR
Texas(1/5/2023)
RR
Virginia(1/5/2023)
IAR
Virginia(1/3/2024)
IAR
West Virginia(10/29/2024)
Exams
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.
