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Advisor at CASCADE INVESTMENT GROUP, INC.
COLORADO SPRINGS, CO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CASCADE INVESTMENT GROUP, INC. | Independent wealth | Nov 13, 2019 | n/a | yes | COLORADO SPRINGS, CO | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 28, 2002 | Jun 6, 2019 | no | COLORADO SPRINGS, CO|COLORADO SPRINGS, CO|COLORADO SPRINGS, CO | Previous registration |
| PIPER SANDLER & CO. | Institutional manager | Jan 1, 1999 | Jul 15, 2002 | no | COLORADO SPRINGS, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | CASCADE INVESTMENT GROUP, INC. | Jun 6, 2019 | Nov 13, 2019 | 160 | Firm change | Wirehouse to RIA |
| PIPER SANDLER & CO. | UBS FINANCIAL SERVICES INC. | Jul 15, 2002 | Jun 28, 2002 | -17 | Firm change | Other |