James Leon Walker

Cape Investment Advisory, INC.

6 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Cape Investment Advisory, INC.

Compensation

Fee-Only (AUM)

Firm Size

33 advisors

Number of Clients

1,634 clients

Average Client Portfolio

$246K average

Assets Under Management

$402.4M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Minimum Annual Fee:$350

Location

1600 Pennsylvania Ave., Mcdonough, GA, 30253

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History

Regulatory History (3)

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Regulatory

February 2017

Final

Regulatory

March 2015

Final

Criminal

October 2004

Final Disposition

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

James is the CEO of Strictly Business Legacy, LLC, consulting small businesses about medical plans and providing P&C insurance, dedicating nearly full-time hours to this. He is also a board member of the National Association of Health Underwriters and a real estate agent, spending minimal time and about a quarter of his time, respectively, on these activities.

Employment History

Current Registrations

American Global Wealth Management, INC.Broker

January 2021 - Present · 5 yrs 1 mo

Cape Investment Advisory, INC.

July 2020 - Present · 5 yrs 7 mos

Cape Securities INC.Broker

December 2019 - Present · 6 yrs 2 mos

Previous Registrations

Nylife Securities LLCBroker

May 2019 - July 2019 · 2 mos

State Registrations30 states

AZCACOCTDEFLGAHIIAILINKSKYMAMDMNNCNDNJNVOHOKORPASCTNTXVAWIWV

AdvisorBrokerBoth

Exams

No exam information available for this advisor.