Jack W. Richardson

CASCADES CAPITAL ASSET MANAGEMENT

Wilmington, NC

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CRD#: 1754260

Professional summary

Jack Wilson Richardson JR, who also goes by Jack W Richardson, is a registered financial advisor currently at CASCADES CAPITAL ASSET MANAGEMENT, LLC located in Wilmington, North Carolina.

Jack is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Jack has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack W Richardson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) 07/11/2016: No Business Name - Real Estate Rental - INV REL - Start 06/02/2016 - 1613 Oaklawn Ave, Greenville, NC - Owner of property - 1 Hr/Mo; 0 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack Wilson Richardson JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2018 - Present

CASCADES CAPITAL ASSET MANAGEMENT, LLC

RIA

CRD#: 167102

Wilmington, NC

Past

June 27, 2012 - January 19, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

WILMINGTON, NC

Past

June 27, 2012 - January 19, 2018

LPL FINANCIAL LLC

CRD#: 6413

WILMINGTON, NC

Past

June 6, 2012 - June 19, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CLINTON, NC

Past

October 1, 2000 - June 19, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CLINTON, NC

Past

April 26, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

January 1, 1998 - December 13, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 12, 1993 - January 1, 1998

NATIONSSECURITIES

CRD#: 32542

Past

March 30, 1990 - July 12, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 10, 1988 - April 10, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 21, 1987 - September 10, 1988

EDWARD JONES

CRD#: 250

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/26/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

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Contact information

Main Address

1840 Pembroke Road Suite 1, Greensboro, NC 27408

Mailing Address

Phone number

(336) 404-4746

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASCADES CAPITAL ASSET MANAGEMENT, LLC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 321,951,547

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Jack W. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack Wilson Richardson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONSSECURITIES

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

EDWARD JONES

Primary Firm SEC Registration

CASCADES CAPITAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2012

Series 65

Date: 9/26/1995

Series 63

Date: 11/16/1987

SIE

Date: 1/19/2018

Series 7

Date: 10/17/1987

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASCADES CAPITAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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