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EE

Erik J. Einwalter

CASCADIA CAPITAL
SEATTLE, WA 98104
Some features on this profile are disabled
CRD#: 5094939
EE

Professional summary

Erik John Einwalter is a registered financial professional currently at CASCADIA CAPITAL, LLC located in Seattle, Washington.

Erik is registered as a RR (Registered Representative) and started their career in finance in 2009. Erik has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Erik John Einwalter'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

April 5, 2011 - Present

CASCADIA CAPITAL, LLC

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

June 25, 2009 - March 25, 2011

SALEM PARTNERS LLC

BD
CRD#: 43363
LOS ANGELES, CA

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
Washington
(4/5/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2009
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)
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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 (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

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