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JF

Jordan L. Finkler

CASCADIA CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 5002044
JF

Professional summary

Jordan Lance Finkler, who also goes by Jordan Finkler, is a registered financial professional currently at CASCADIA CAPITAL, LLC located in New York, New York.

Jordan is registered as a RR (Registered Representative) and started their career in finance in 2005. Jordan has worked at 6 firms and has passed the Series 66, Series 82TO, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jordan Finkler

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) - BD

Click below to view Jordan Lance Finkler's 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

August 20, 2024 - Present

CASCADIA CAPITAL, LLC

Office #1: 477 Madison Avenue 18th Floor, New York, NY 10022
BD
CRD#: 101020
New York, NY
Past

June 11, 2015 - September 4, 2024

DC ADVISORY

BD
CRD#: 129919
NEW YORK, NY
Past

April 2, 2008 - December 12, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 14, 2006 - March 14, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 19, 2005 - June 5, 2006

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

August 23, 2005 - June 5, 2006

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
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

RR
New York
(8/20/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/17/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 8/20/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/23/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CASCADIA CAPITAL, LLC
CASCADIA CAPITAL SECURITIES INC. | CASCADIA CAPITAL, LLC | CASCADIA CAPITAL SECURITIES, LLC

CRD#: 101020 / SEC#: , 8-52064

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

Main Address
920 5th Avenue Suite 1500, Seattle, WA 98104
Mailing Address
920 5th Avenue Suite 1500, Seattle, WA 98104
Phone number
(206) 436-2500
Established
Washington since 12/04/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CASCADIA CAPITAL HOLDINGS, L.L.C.SOLE MEMBER
BUTLER, MICHAEL JOSEPHCEO, DIR1607507
HOFFMAN, MATTHEW THOMASCHIEF COMPLIANCE OFFICER1144872
RHEE, LISA HAMMONDCONTROLLER, FINOP3251733

Disclosures

Regulatory Event1

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.

Company Information

CASCADIA CAPITAL, LLC

CRD#: 101020New York, NY 10022

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