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HJ

Harold James Knight

Investment Adviser Representative at CAPE INVESTMENT ADVISORY, INC.

Slatington, PACRD #4220303Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
States Registered
5 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
DelawareFloridaGeorgiaPennsylvaniaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/13/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 8/28/2000
Series 99
Operations Professional Examination
Passed 5/1/2023
Series 82
Limited Representative-Private Securities Offerings
Passed 5/1/2023
SIE
Securities Industry Essentials Examination
Passed 8/2/2017
Series 7
General Securities Representative Examination
Passed 8/15/2000
Series 24
General Securities Principal Examination
Passed 6/7/2010

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

CAPE Investment Advisory, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CAPE INVESTMENT ADVISORY, INC.Current
9/18/2023Slatington, PA
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.Current
9/15/2023Northampton, PA
CAPE INVESTMENT ADVISORY, INC.
5/18/20213/17/2023Leighton, PA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
1/21/20203/30/2020Nazareth, PA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Harold James Knight has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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