Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leon Walker is an investment advisor representative for Cape Investment Advisory, Inc., a registered investment advisor firm. James has been in the securities industry since October 2019. James is registered with the following states: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kansas, Kentucky, Massachusetts, Minnesota, New Jersey, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, West Virginia and Wisconsin. James holds the following licenses: Series 63, Series 65, Series 7 and SIE. James is a member of the National Association of Health Underwriters Local Chapter of South Atlanta.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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GA
01/25/2024 - Present
Cape Investment Advisory, Inc. (MCDONOUGH GA)
GA
05/23/2019 - 07/25/2019
NYLIFE SECURITIES LLC (MACON GA)
IA
Issued 06/26/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2020
Series 7TO - General Securities Representative Examination
BC
Issued 05/23/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/20/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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