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Cape Securities Advisor Bruce Phillips Faces $100K Skyloft Complaint
McDonough, Georgia financial advisor Bruce Phillips (CRD# 2239471) is involved in an investor complaint alleging that an NP Skyloft investment resulted in six-figure damages. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Cape Securities and Cape Investment Advisory, respectively.
Mr. Phillips’ BrokerCheck report discloses one investor complaint. Filed in January 2023, it alleges that as a representative of Cape Securities, he recommended an unsuitable investment in NP Skyloft DST, failed to conduct reasonable due diligence, and misrepresented material facts relating to the product. The pending complaint alleges damages of $100,000.
According to the Financial Industry Regulatory Authority, Bruce Phillips holds 29 years of securities industry experience. Based in McDonough, Georgia, he has been a broker and an investment advisor with Cape Securities and Cape Investment Advisory, respectively, since 2016. His registration history includes American Global Wealth Management (McDonough, Georgia; 2020-2021), Ameritas Investment Corporation (Covington, Georgia; 2004-2016), ING Financial Partners (Windsor, Georgia; 2004-2016), and Woodbury Financial Services (Conyers, Georgia and Oakdale, Minnesota; 1993-2003). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Alabama, Arkansas, California, Florida, Georgia, Indiana, Iowa, Nebraska, Nevada, New Jersey, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas, Virginia, and Washington. (Information current as of March 1, 2023.)
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