JW
James L. Walker
CAPE INVESTMENT ADVISORY
MCDONOUGH, GA 30253
Some features on this profile are disabled
CRD#: 6685668
JW
Professional summary
James Leon Walker Jr, who also goes by James Leon Walker Jr., James Leon Walker, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Mcdonough, Georgia and CAPE SECURITIES INC. located in Mcdonough, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Leon Walker Jr. | James Leon Walker
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.
1. Strictly Business Legacy, LLC 5334 Scofield Rd College Park GA 30349 started 2/20/2017, CEO, Consulting Small Businesses about Their Major Medical Plans and Provide P&C Insurance, 120 Hours Per Month. 2. National Association of Health Underwriters Local Chapter of South Atlanta Board Member as of 871/2023; no specific duties. 4 hours per month devoted to activity with 0 hours during trading hours. 3. Village Premier Collection Georgia 3423 Piedmonth Road NE Atlanta, GA; real estate agent since 10/15/2022; sales of residential and commercial real estate; receives commissions based on sales; devotes 40 hours per month with none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Leon Walker Jr'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
July 8, 2020 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 1600 Pennsylvania Ave, Mcdonough, GA 30253RIA
CRD#: 146384
MCDONOUGH, GA
Current
December 17, 2019 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Current
January 8, 2021 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7388
Mcdonough, GA
Past
May 23, 2019 - July 25, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MACON, 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.
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(8/23/2021)
IAR
Arizona(4/5/2024)
RR
California(8/13/2021)
IAR
California(9/18/2025)
RR
Colorado(8/13/2021)
RR
Connecticut(4/27/2022)
IAR
Delaware(4/11/2024)
RR
Florida(8/16/2021)
IAR
Florida(2/14/2025)
RR
Georgia(12/18/2019)
IAR
Georgia(7/8/2020)
RR
Hawaii(8/7/2024)
RR
Illinois(1/3/2022)
RR
Indiana(8/7/2024)
RR
Iowa(8/9/2024)
RR
Kansas(1/19/2022)
RR
Kentucky(4/22/2022)
RR
Maryland(6/17/2025)
RR
Massachusetts(11/13/2023)
RR
Minnesota(3/18/2024)
RR
Nevada(2/11/2025)
IAR
New Jersey(3/19/2024)
RR
New Jersey(8/6/2024)
IAR
North Carolina(3/7/2024)
RR
North Carolina(3/19/2024)
RR
North Dakota(8/12/2024)
RR
Ohio(1/18/2022)
RR
Oklahoma(8/16/2021)
RR
Oregon(8/19/2024)
IAR
Pennsylvania(3/19/2024)
RR
Pennsylvania(10/23/2024)
RR
South Carolina(8/12/2024)
RR
Tennessee(11/23/2021)
RR
Texas(8/13/2021)
IAR
Texas(3/18/2024)
RR
Virginia(11/4/2024)
RR
West Virginia(4/25/2022)
RR
Wisconsin(3/15/2021)
IAR
Wisconsin(1/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/23/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
