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PJ

Paul Joseph Jacobs

Investment Adviser Representative at CAPE INVESTMENT ADVISORY, INC.

Prescott Valley, AZCRD #4658235Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
2 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
ArizonaTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/16/2003
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/25/2003
Series 24
General Securities Principal Examination
Passed 8/21/2006

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
4/6/2017Prescott Valley, AZ
CALDWELL INTERNATIONAL SECURITIES
1/8/20148/5/2016Austin, TX
CALDWELL INTERNATIONAL SECURITIES
8/15/20128/29/2012Fischer, TX
VERITRUST FINANCIAL, LLC
12/9/20118/16/2012Austin, TX
WADDELL & REED, INC.
2/1/201112/7/2011Austin, TX
AMERIPRISE FINANCIAL SERVICES, INC.
8/30/20101/7/2011Austin, TX
LPL FINANCIAL CORPORATION
9/26/20087/29/2010Austin, TX
INVESTMENT PROFESSIONALS, INC.
6/7/20079/26/2008Odessa, TX
NEW ENGLAND SECURITIES CORPORATION
7/17/20066/13/2007San Antonio, TX
AMERIPRISE FINANCIAL SERVICES, INC.
7/18/20034/13/2006San Antonio, TX

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. Paul Joseph Jacobs 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.

Paul Joseph Jacobs - Financial Advisor in Prescott Valley, AZ | AdvisorFinder