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CC

Carl R. Comstock

CASCADIA CAPITAL
NEW YORK, NY 10022
CRD#: 6419984
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CC
Carl Rocco ComstockCASCADIA CAPITAL

Professional summary

Carl Rocco Comstock is a registered financial professional currently at CASCADIA CAPITAL, LLC located in New York, New York.

Carl is registered as a RR (Registered Representative) and started their career in finance in 2014. Carl has worked at 6 firms and has passed the Series 63, SIE and Series 79 exams.

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 Carl Rocco Comstock'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

May 22, 2026 - Present

CASCADIA CAPITAL, LLC

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

March 15, 2023 - May 26, 2026

INTREPID INVESTMENT BANKERS LLC

BD
CRD#: 154801
New York, NY
Past

June 28, 2022 - March 23, 2023

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

June 25, 2019 - June 27, 2022

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

September 19, 2017 - June 5, 2019

LINCOLN INTERNATIONAL LLC

BD
CRD#: 42045
NEW YORK, NY
Past

December 5, 2014 - September 28, 2017

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL

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
(5/22/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2014
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: 12/5/2014
Investment Banking Registered 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)

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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