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MM

Meredith L. Mann

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CRD#: 6067916
MM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Meredith Louise Mann was a registered financial professional .

Meredith is a previously registered financial professional and started their career in finance in 2013. Meredith had worked at 3 firms and has passed the Series 63, SIE and Series 79 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2021 - January 30, 2025

CASCADIA CAPITAL, LLC

BD
CRD#: 101020
AUSTIN, TX
Past

November 8, 2017 - September 18, 2019

CASCADIA CAPITAL, LLC

BD
CRD#: 101020
SEATTLE, WA
Past

April 21, 2015 - October 18, 2017

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
HOUSTON, TX
Past

September 6, 2013 - April 15, 2015

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/4/2013
Investment Banking Registered Representative Examination

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#: 101020

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