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Samuel Bruce Phillips Jr

Investment Adviser Representative at CAPE INVESTMENT ADVISORY, INC.

Mcdonough, GACRD #2239471Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
7 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
AlabamaArkansasFloridaGeorgiaNorth CarolinaVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/8/2001
Series 63
Uniform Securities Agent State Law Examination
Passed 4/15/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/28/1997
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/10/1993
Series 24
General Securities Principal Examination
Passed 10/2/1997

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
7/7/2016Mcdonough, GA
AMERITAS INVESTMENT CORP
11/18/20047/29/2016Covington, GA
ING FINANCIAL PARTNERS, INC
9/25/20037/2/2004Conyers, GA
WOODBURY FINANCIAL SERVICES, INC.
1/29/200310/17/2003Conyers, GA

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. Samuel Bruce Phillips Jr 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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