Dana M. Capozzella
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dana Marie Capozzella was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1993. Dana had worked at 3 firms and has passed the Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1996 - June 30, 2025
CASCADE INVESTMENT GROUP, INC.
April 13, 1995 - June 12, 1996
CITIGROUP GLOBAL MARKETS INC.
May 12, 1993 - May 9, 1995
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CASCADE INVESTMENT GROUP, INC.
CRD#: 35844 / SEC#: 801-53819, 8-46943
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CASCADE INVESTMENT GROUP, INC.
CRD#: 35844 / SEC#: 801-53819, 8-46943
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 974 |
| AUM (Assets Under Management) | $ 378,028,345 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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