Rachel Faulk

GLOBAL INVESTMENT ADVISORY

Suwanee, GA

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CRD#: 7712313

Professional summary

Rachel Faulk, who also goes by Rachael L Faulk, Rachel L Faulk, is a registered financial advisor currently at GLOBAL INVESTMENT ADVISORY located in Suwanee, Georgia and AMERICAN GLOBAL WEALTH MANAGEMENT, INC. located in Traverse City, Michigan.

Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Rachel has worked at 5 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 7TO, SIE, Series 14, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rachael L Faulk | Rachel L Faulk

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.

AMGlobe Consulting, LLC. Regulatory Compliance Consulting for affiliated financial services. Position: Compliance Director, in McDonough, Georgia; Start Date: 12/20/2024; Consulting hours are full time but not necessarily performed during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Faulk's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 28, 2024 - Present

GLOBAL INVESTMENT ADVISORY

RIA

CRD#: 310305

Suwanee, GA

Current

May 15, 2023 - Present

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

Office #1: 945 East 8th Street, Traverse City, MI 49686

CRD#: 7388

Traverse City, MI

Current

August 27, 2024 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253

CRD#: 7072

Mcdonough, GA

Current

February 20, 2025 - Present

FIRST ASSET FINANCIAL INC.

Office #1: 110 E. Iron Ave., Salina, KS 67401

CRD#: 139107

Salina, KS

Past

October 23, 2024 - December 2, 2024

PACIFIC INVESTMENT SECURITIES CORP.

CRD#: 16339

PORTLAND, OR

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".

GLOBAL INVESTMENT ADVISORY

CAPE INVESTMENT ADVISORY | GLOBAL INVESTMENT ADVISORY LLC | GLOBAL INVESTMENT ADVISORY

CRD#: 310305 / SEC#: 801-131279

RIA

Registered Investment Advisory firm - (10/1/2024 Approved)

California

Registered Investment Advisory firm - (10/31/2024 Terminated)

Georgia

Registered Investment Advisory firm - (10/4/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (10/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(5/25/2023)

Florida
(6/26/2023)

Georgia
(5/25/2023)

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLOBAL INVESTMENT ADVISORY

CAPE INVESTMENT ADVISORY | GLOBAL INVESTMENT ADVISORY LLC | GLOBAL INVESTMENT ADVISORY

CRD#: 310305 / SEC#: 801-131279

RIA

Registered Investment Advisory firm - (10/1/2024 Approved)

California

Registered Investment Advisory firm - (10/31/2024 Terminated)

Georgia

Registered Investment Advisory firm - (10/4/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (10/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2024 Terminated)

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Contact information

Main Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Mailing Address

Phone number

(678) 583-1120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GLOBAL INVESTMENT ADVISORY BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 21,484,490

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.

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Firm Stability Insights

Rachel Faulk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Faulk's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

CAPE SECURITIES INC.

FIRST ASSET FINANCIAL INC.

PACIFIC INVESTMENT SECURITIES CORP.

Primary Firm SEC Registration

GLOBAL INVESTMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2023

Series 99TO

Date: 7/21/2025

Series 52TO

Date: 3/10/2025

Series 7TO

Date: 5/1/2023

SIE

Date: 12/5/2022

Series 14

Date: 7/21/2025

Series 53

Date: 4/2/2025

Series 27

Date: 10/14/2024

Series 24

Date: 10/10/2023

FINRA

Current Firm

GLOBAL INVESTMENT ADVISORY

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL INVESTMENT ADVISORY

TRUST BUT VERIFY

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