Fermin J. Padilla

CASCADE INVESTMENT GROUP

Colorado Springs, CO 80903

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CRD#: 2727411

Professional summary

Fermin John Padilla JR, who also goes by Fermin John Padilla, is a registered financial advisor currently at CASCADE INVESTMENT GROUP, INC. located in Colorado Springs, Colorado.

Fermin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Fermin has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fermin John Padilla

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fermin John Padilla JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Fermin John Padilla 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

June 21, 2019 - Present

CASCADE INVESTMENT GROUP, INC.

Office #1: 444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903

RIA

CRD#: 35844

Colorado Springs, CO

Current

June 20, 2019 - Present

CASCADE INVESTMENT GROUP, INC.

Office #1: 444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903

RIA

CRD#: 35844

Colorado Springs, CO

Past

June 19, 2019 - June 20, 2019

CASCADE INVESTMENT GROUP, INC.

RIA

CRD#: 35844

COLORADO SPRINGS, CO

Past

June 28, 2002 - June 6, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

COLORADO SPRINGS, CO

Past

June 28, 2002 - June 6, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

COLORADO SPRINGS, CO

Past

January 1, 1999 - July 15, 2002

PIPER SANDLER & CO.

RIA

CRD#: 665

COLORADO SPRINGS, CO

Past

April 24, 1996 - July 15, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

CASCADE INVESTMENT GROUP, INC.

BJR & ASSOCIATES, INC | CASCADE INVESTMENT GROUP, INC.

CRD#: 35844 / SEC#: 801-53819, 8-46943

RIA

Registered Investment Advisory firm - SEC (2/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/23/2019)

California
(11/13/2019)

Colorado
(11/13/2019)

IAR

Colorado
(11/13/2019)

Florida
(7/9/2019)

Indiana
(3/10/2023)

Massachusetts
(5/31/2023)

Texas
(9/10/2025)

IAR

Texas
(9/10/2025)

Virginia
(11/13/2019)

Washington
(7/15/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/4/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/23/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CASCADE INVESTMENT GROUP, INC.

BJR & ASSOCIATES, INC | CASCADE INVESTMENT GROUP, INC.

CRD#: 35844 / SEC#: 801-53819, 8-46943

RIA

Registered Investment Advisory firm - SEC (2/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903

Mailing Address

444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903

Phone number

(719) 632-0818

Established

Colorado since 09/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (9/16/2025)

Direct owners and executive officers

Name	Position	CRD#
THE EASTERN COLORADO BANK	OWNER
WRUBEL, ROBERT GOLD	PRESIDENT/MANAGING DIRECTOR	4487197
RETHI, SCOTT ALEXANDER	CHIEF COMPLIANCE OFFICER	6524212

Regulatory assets under management

Total Number of Accounts	974
AUM (Assets Under Management)	$ 378,028,345

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Fermin J. Padilla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fermin John Padilla JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Fermin John Padilla JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADE INVESTMENT GROUP, INC.

CASCADE INVESTMENT GROUP, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

Primary Firm SEC Registration

CASCADE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/1996

Series 63

Date: 4/30/1996

SIE

Date: 10/1/2018

Series 31

Date: 9/4/2003

Series 7

Date: 4/23/1996

FINRA

Current Firm

CASCADE INVESTMENT GROUP, INC.

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CASCADE INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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