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PAUL JOSEPH JACOBS
CRD#: 4658235
IA
Investment Adviser
B
Broker
CAPE INVESTMENT ADVISORY, INC.CRD#: 146384 PRESCOTT VALLEY, AZ
CAPE SECURITIES INC.CRD#: 7072 Prescott Valley , AZ
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2010 (1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2017 - Present (7 years)BCALDWELL INTERNATIONAL SECURITIES (CRD# 104323)2013 - 2016 (2 years)IACALDWELL INTERNATIONAL SECURITIES (CRD# 104323)2014 - 2016 (2 years)
Disclosure(s)
View By:
12/31/2015
Regulatory
Final
5/13/2012
Criminal
Final Disposition
2/6/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 12/19/2018

B
Montana 12/20/2018

IA
Arizona 11/18/2022

B
Nevada 2/27/2019

B
California 8/21/2018

B
Texas 4/6/2017

B
Colorado 6/3/2020

IA
Texas 4/6/2017

B
Georgia 12/5/2018

B
Wyoming 1/8/2024

B
Minnesota 8/22/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPE INVESTMENT ADVISORY, INC. (CRD#:146384)
PRESCOTT VALLEY, AZ
Registered with this firm since 4/6/2017

B
CAPE SECURITIES INC. (CRD#:7072)
Prescott Valley , AZ
Registered with this firm since 2/16/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/08/2014 - 08/05/2016 CALDWELL INTERNATIONAL SECURITIES (CRD#:104323) AUSTIN, TX
B
10/25/2013 - 07/29/2016 CALDWELL INTERNATIONAL SECURITIES (CRD#:104323)
FINRA expelled the firm on 01/03/2017
AUSTIN, TX
B
08/15/2012 - 09/19/2012 CALDWELL INTERNATIONAL SECURITIES (CRD#:104323)
FINRA expelled the firm on 01/03/2017
NASSAU
IA
08/15/2012 - 08/29/2012 CALDWELL INTERNATIONAL SECURITIES (CRD#:104323) FISCHER, TX
IA
12/09/2011 - 08/16/2012 VERITRUST FINANCIAL, LLC (CRD#:106594) AUSTIN, TX
B
12/02/2011 - 08/16/2012 VERITRUST FINANCIAL, LLC (CRD#:106594) AUSTIN, TX
IA
02/01/2011 - 12/07/2011 WADDELL & REED, INC. (CRD#:866) AUSTIN, TX
B
01/10/2011 - 12/07/2011 WADDELL & REED, INC. (CRD#:866) AUSTIN, TX
IA
08/30/2010 - 01/07/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) AUSTIN, TX
B
08/30/2010 - 01/07/2011 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) AUSTIN, TX
IA
09/26/2008 - 07/29/2010 LPL FINANCIAL CORPORATION (CRD#:6413) AUSTIN, TX
B
09/29/2008 - 07/29/2010 LPL FINANCIAL CORPORATION (CRD#:6413) AUSTIN, TX
IA
06/07/2007 - 09/26/2008 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) ODESSA, TX
B
06/07/2007 - 09/26/2008 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) ODESSA, TX
IA
07/17/2006 - 06/13/2007 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) SAN ANTONIO, TX
B
04/25/2006 - 06/13/2007 NEW ENGLAND SECURITIES (CRD#:615) SAN ANTONIO, TX
IA
07/18/2003 - 04/13/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN ANTONIO, TX
B
06/27/2003 - 04/13/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) THE WOODLANDS, TX
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.