DW
David S. Welton
CAPE INVESTMENT ADVISORY
Charlotte, NC 28203
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CRD#: 811129
DW
Professional summary
David Scott Welton is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Charlotte, North Carolina and CAPE SECURITIES INC. located in Charlotte, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 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.
1) INDEPENDENT INSURANCE WITH RASBERRY AGENCY; INSURANCE AGENT SINCE 2000-FIXED INSURANCE AND FIXED ANNUITY PRODUCTS; DEVOTES 40 HOURS PER MONTH. 2) INDEPENDENT INSURANCE THROUGH MASS MUTUAL; INSURANCE AGENT SINCE 1966 - FIXED INSURANCE AND FIXED ANNUITY PRODUCTS. DEVOTES 40 HOURS PER MONTH. 3) CHARLOTTE FORDHAM GROUP AND SANDPIPER RUN "B" 5G PARTNERSHIP; INCLUDES 12 PERSONS OF A TIMESHARE PROPERTY AT LITCHFIELD-BY-THE-SEA CONDO ON PAWLEY'S ISLAND SC, AS MANAGER RESPONSIBLE FOR MANAGING AND MAINTAINING PROPERTY WITH SUPPLIES AND PAYMENT OF BILLS; BEGAN 1999, 2-3 HOURS PER MONTH WITH NONE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Scott Welton'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
May 18, 2021 - Present
CAPE INVESTMENT ADVISORY, INC.
Office #1: 300 E. Kingston Ave., Charlotte, NC 28203RIA
CRD#: 146384
Charlotte, NC
Current
May 10, 2019 - Present
CAPE SECURITIES INC.
Office #1: 300 E. Kingston Ave, Charlotte, NC 28203BD
CRD#: 7072
Charlotte, NC
Past
April 4, 2016 - June 9, 2021
HOBART WEALTH
RIA
CRD#: 168494
CHARLOTTE, NC
Past
August 21, 2013 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
CHARLOTTE, NC
Past
August 20, 2013 - November 29, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
CHARLOTTE, NC
Past
December 31, 2001 - October 1, 2013
IFG RUSSELL ADVISORS INC
RIA
CRD#: 108677
CHARLOTTE , NC
Past
March 1, 1996 - August 7, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLOTTE, NC
Past
December 11, 1995 - August 20, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CHARLOTTE, NC
Past
November 19, 1989 - November 1, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 5, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 15, 1975 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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
Alabama(6/21/2019)
RR
Arkansas(1/28/2025)
RR
California(7/2/2019)
RR
Colorado(5/8/2023)
RR
District of Columbia(8/23/2019)
RR
Florida(5/10/2019)
RR
Georgia(3/28/2025)
RR
Maryland(8/23/2019)
RR
North Carolina(5/10/2019)
IAR
North Carolina(6/9/2021)
RR
Pennsylvania(6/28/2023)
RR
South Carolina(6/26/2019)
RR
Tennessee(4/16/2025)
RR
Texas(7/2/2019)
RR
Virginia(8/23/2019)
RR
West Virginia(5/10/2019)
RR
Wisconsin(5/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/11/1975
Registered Representative ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
