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    boat wheel

Three simple steps to set sail

Your Personal Transition Specialist (PTS) will help map the course of your transition so that you are aware of mission-critical items on your transition timeline. Your PTS provides key transition services to ensure minimal downtime and address your questions and unique needs. Setting sail with Cape involves 3 simple steps:

  • GATHER

    • Set a target transition date
    • Gather client statements and account information
    • Complete transition documents
  • SETUP

    • Set-up transition “Kick Off” call
    • Determine technology platform logins
    • Website walk-through, transfer forms, new business forms, and disclaimers
    • Order stationary and business cards
  • FINALIZE

    • Deliver resignation letter to former broker-dealer
    • Compliance-approved letter informing clients of your move
    • Update insurance license and state registration appointments
    • Transfer your clients to Cape Securities
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“My vision is the creation of a broker-dealer that sets new standards by balancing both service excellence and a family environment.”

Jim R. Webb
CEO, Cape Securities, Inc.

Cape Securities

1600 Pennsylvania Avenue
McDonough, GA 30253

P. (678) 583-1120
F. (678) 583-1258

Securities offered through Cape Securities, Inc., Member FINRA, SIPC, MSRB Registered. Advisory services offered through Cape Investment Advisory, Inc. Clearing services provided by Hilltop Securities, Inc.

Learn about your advisor at FINRA BrokerCheck.

To review our Business Continuity Plan Disclosure, go here.

To review our fee schedule, go here.

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