Heather Nicole Hammonds
Investment Adviser Representative at CAPE Investment Advisory, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Heather Nicole Hammonds is an investment adviser representative with CAPE Investment Advisory, Inc. in Charlotte, NC, where they have been registered since 2025. They have worked in the securities industry since 2025 and were previously registered with CAPE Securities Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Alabama, North Carolina, and Texas.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Alabama, North Carolina, Texas
- Broker:
12 states and territories
Alabama, Arkansas, California, District of Columbia, Florida, Georgia, North Carolina, South Carolina, Tennessee, Texas, Virginia, West Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- D. Scott Welton & AssociatesNov 2008 – no end date reportedCharlotte, NC
- John TonissenSep 2020 – no end date reportedCharlotte, NC
- Cape Securities, Inc.Apr 2025 – no end date reportedMcDonough, GA
- Cape Investment AdvisoryApr 2025 – no end date reportedMcDonough, GA
- American Global Wealth ManagementJan 2026 – no end date reportedMcDonough, GA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About CAPE Investment Advisory, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
The firm offers investments (including IRAs, brokerage accounts, annuities, and government securities), financial planning (including retirement plans, tax plans, 401(k)/403(b) planning, college plans, estate plans, and profit sharing plans), and insurance (disability income, life, and long-term-care insurance).
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 33
- Offices listed on AdvisorFinder:
- 16
- Main office:
- Mcdonough, GA
- SEC file number:
- 801-71349
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 10, 2026
View full firm profileOther advisors at CAPE Investment Advisory, Inc.
Showing 12 of 33 in the directory
Similar advisors in Charlotte, NC
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Heather Nicole Hammonds 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched