WS
Wayne H. Sanders
CAPE INVESTMENT ADVISORY
Atlanta, GA
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CRD#: 876538
WS
Professional summary
Wayne Harris Sanders is a registered financial advisor currently at CAPE INVESTMENT ADVISORY, INC. located in Atlanta, Georgia and CAPE SECURITIES INC. located in Mcdonough, Georgia.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Wayne has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Harris Sanders'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
March 15, 2016 - Present
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
Atlanta, GA
Current
March 3, 2016 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253BD
CRD#: 7072
Mcdonough, GA
Past
August 2, 2006 - March 4, 2016
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ATLANTA, GA
Past
February 22, 2002 - March 4, 2016
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ATLANTA, GA
Past
September 9, 1994 - February 28, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 30, 1989 - September 28, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 6, 1984 - February 8, 1989
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 24, 1978 - February 28, 1984
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
May 17, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
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(3/3/2016)
RR
Florida(10/30/2023)
RR
Georgia(3/11/2016)
IAR
Georgia(3/15/2016)
RR
New Jersey(1/11/2019)
RR
Tennessee(10/26/2016)
RR
Virginia(3/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 8/29/1984
Foreign Currency Options 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
