Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames March is a financial advisor at Cape Investment Advisory, Inc. James has been in the industry since 2005. James is registered to provide investment advice in California and Georgia and is also registered as a broker in California. James has extensive experience in the financial services industry and offers a wide range of services including financial planning, portfolio management, and pension consulting.
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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2
CA
12/21/2023 - Present
Cape Investment Advisory, Inc. (MORAGO CA)
KS
04/05/2024 - 04/08/2024
FIRST ASSET FINANCIAL INC. (SALINA KS)
CA
07/01/2019 - 12/31/2021
CAPITAL SYNERGY PARTNERS (BRENTWOOD CA)
CO
06/08/2018 - 08/27/2018
TRANSAMERICA FINANCIAL ADVISORS, INC (GREENWOOD VILLAGE CO)
CO
01/31/2018 - 05/15/2018
PRUCO SECURITIES, LLC. (ENGLEWOOD CO)
CA
05/07/2015 - 11/16/2017
PFS INVESTMENTS INC. (SAN DIEGO CA)
CA
09/04/2012 - 10/18/2013
PRINCOR FINANCIAL SERVICES CORPORATION (SAN DIEGO CA)
CA
08/31/2012 - 09/11/2012
NEW ENGLAND SECURITIES (SAN DIEGO CA)
CA
07/28/2011 - 09/07/2012
ALLSTATE FINANCIAL SERVICES, LLC (SAN DIEGO CA)
CA
02/10/2010 - 07/12/2011
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
05/02/2009 - 02/05/2010
CHASE INVESTMENT SERVICES CORP. (SAN DIEGO CA)
CA
11/06/2008 - 05/02/2009
WAMU INVESTMENTS, INC. (SAN DIEGO CA)
CA
06/11/2008 - 10/16/2008
SIGNATOR INVESTORS, INC. (WALNUT CREEK CA)
CA
12/18/2007 - 04/28/2008
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
CA
01/10/2007 - 11/27/2007
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
MI
10/05/2001 - 05/07/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
TX
07/13/1999 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
08/21/1995 - 04/28/1998
MONY SECURITIES CORP. (NEW YORK NY)
IA
Issued 06/08/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/10/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2021
Series 4 - Registered Options Principal Examination
BC
Issued 11/28/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/27/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 08/27/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2009
Series 7 - General Securities Representative Examination
BC
Issued 01/09/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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