TM
Trevor Maxwell
CAPE INVESTMENT ADVISORY
Suffolk, VA
Some features on this profile are disabled
CRD#: 6950418
TM
Professional summary
Trevor Maxwell, who also goes by Trevor Clayton Maxwell, is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Suffolk, Virginia.
Trevor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Trevor has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Trevor Clayton Maxwell
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.US VETWEALTH/BELL CONSULTING SINCE 5/1/2020; LIFE INSURANCE AND ANNUITIES AS AN AGENT TO SELL LIFE INSURANCE AND ANNUITY PRODUCTS; 80 HOURS PER MONTH DEVOTED TO BUSINESS WITH 80 HOURS DURING TRADING HOURS.
2. BAKER/MAX LLC SINCE 5/2020, OWNER/CO-FOUNDER, 5207 REGATTA POINTE ROAD SUFFOLK, VA 23435, BUSINESS OF BUYING AND HOLDING RENTAL PROPERTIES, 20 HOURS DEVOTED TO THE BUSINESS WITH NONE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Trevor Maxwell'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
September 29, 2020 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
Suffolk, VA
Past
November 26, 2019 - May 1, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
Norfolk, VA
Past
May 29, 2019 - May 1, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
Norfolk, VA
Past
July 27, 2018 - July 31, 2018
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
NORFOLK, VA
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.Highlighted states indicate IAR registrations
IAR
California(2/21/2025)
IAR
Colorado(2/21/2025)
IAR
Hawaii(2/21/2025)
IAR
Maryland(2/20/2025)
IAR
Michigan(2/24/2025)
IAR
North Carolina(2/24/2025)
IAR
Ohio(2/20/2025)
IAR
Texas(2/20/2025)
IAR
Virginia(9/29/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
