TB
Theresa G. Brock
CASCADE INVESTMENT GROUP
Colorado Springs, CO 80903
Some features on this profile are disabled
CRD#: 5481762
TB
Professional summary
Theresa G Brock, AIF®, who also goes by Theresa A Groshens, Theresa Anne Groshens, is a registered financial advisor currently at CASCADE INVESTMENT GROUP, INC. located in Colorado Springs, Colorado.
Theresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Theresa has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Theresa A Groshens | Theresa Anne Groshens
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.
CRS (Client Relationship Summary) - RIA
Click below to view Theresa G Brock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Theresa G Brock'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®
Experience
Current
June 7, 2018 - Present
CASCADE INVESTMENT GROUP, INC.
Office #1: 444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903RIA
BD
CRD#: 35844
Colorado Springs, CO
Current
March 21, 2018 - Present
CASCADE INVESTMENT GROUP, INC.
Office #1: 444 E. Pikes Peak Avenue Suite 200, Colorado Springs, CO 80903RIA
BD
CRD#: 35844
Colorado Springs, CO
Past
July 20, 2010 - March 31, 2016
CASCADE INVESTMENT GROUP, INC.
BD
CRD#: 35844
COLORADO SPRINGS, CO
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".
CI
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)BD
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.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
Alabama(1/16/2025)
RR
Alaska(3/23/2023)
RR
Arizona(6/8/2022)
RR
California(6/7/2018)
RR
Colorado(3/21/2018)
IAR
Colorado(6/7/2018)
RR
Florida(4/12/2024)
RR
Iowa(11/20/2018)
RR
Kansas(6/7/2018)
RR
Minnesota(5/4/2021)
RR
Missouri(10/16/2024)
RR
New Mexico(9/12/2022)
RR
North Carolina(5/2/2023)
RR
South Dakota(1/27/2025)
RR
Texas(11/12/2019)
IAR
Texas(11/10/2020)
RR
Wyoming(6/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
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)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
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
6
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CASCADE INVESTMENT GROUP, INC.
CRD#: 35844Colorado Springs, CO 80903TRUST BUT VERIFY
Monitor Theresa Brock
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
