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JR

James Randall Webb

Investment Adviser Representative at CAPE INVESTMENT ADVISORY, INC.

Mcdonough, GACRD #2089446Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
16 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
ArizonaFloridaGeorgiaHawaiiLouisianaMarylandMassachusettsMissouriNew JerseyOklahomaOregonSouth DakotaVermontVirginiaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/3/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 3/11/1991
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/25/1990
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 9/17/2008
Series 4
Registered Options Principal Examination
Passed 7/14/2008
Series 24
General Securities Principal Examination
Passed 8/2/2007
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 8/9/1999

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.

GLOBAL INVESTMENT ADVISORYCurrent
2/9/2023Mcdonough, GA
CAPE INVESTMENT ADVISORY, INC.Current
4/4/2008Mcdonough, GA
AURA ASSET MANAGEMENT, INC.
8/30/200711/29/2007Mcdonough, GA
NATIONWIDE INVESTMENT SERVICES CORPORATION
4/18/20055/22/2006Columbus, OH
CURIAN CAPITAL, LLC
2/4/200412/17/2004Denver, CO

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. James Randall Webb 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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