AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SK

Simeon R. Ketchum

CASCADIA CAPITAL
SEATTLE, WA 98104
Some features on this profile are disabled
CRD#: 5012172
SK

Professional summary

Simeon Robbins Ketchum, who also goes by Sim Ketchum, is a registered financial professional currently at CASCADIA CAPITAL, LLC located in Seattle, Washington.

Simeon is registered as a RR (Registered Representative) and started their career in finance in 2005. Simeon has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sim Ketchum

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 Simeon Robbins Ketchum'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

November 14, 2025 - Present

CASCADIA CAPITAL, LLC

Office #1: 920 5th Avenue Suite 1500, Seattle, WA 98104
BD
CRD#: 101020
SEATTLE, WA
Past

May 22, 2024 - October 20, 2025

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, CA
Past

August 12, 2020 - March 5, 2025

TRIAGO

BD
CRD#: 143529
NEW YORK, NY
Past

June 10, 2020 - July 20, 2020

WHITEHALL CAPITAL MARKETS LLC

BD
CRD#: 158885
NEW YORK, NY
Past

July 24, 2017 - January 15, 2018

WHITEHALL CAPITAL MARKETS LLC

BD
CRD#: 158885
NEW YORK, NY
Past

April 24, 2008 - October 7, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 28, 2006 - November 27, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 29, 2005 - August 15, 2006

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA

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
Vermont
(12/12/2025)
RR
Washington
(11/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/4/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2005
General Securities Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (14 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#: 101020Seattle, WA 98104

TRUST BUT VERIFY

Monitor Simeon Ketchum

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Dale Thomas Miller
Dale MillerAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Moscow, ID
Gregg Michael Quinn
Gregg QuinnAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Redmond, WA
Alyssa Marie Jarman
Alyssa JarmanAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
BELLEVUE, WA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.