Jack Wilson Richardson

Employer firm

Cascades Capital Asset Management, LLC CRD 167102

$383M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Cascades Capital Asset Management, Llc

1840 Pembroke Road Suite 1, Greensboro, NC 27408 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-01-26

NC RA
APPROVED

Since 2018-01-26

Branch Locations

Wilmington, NC • United States

1840 Pembroke Road Suite 1, Greensboro, NC 27408 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Wilmington	NC	06/2012	12/2017
Cascades Capital Asset Management	Greensboro	NC	01/2018	Present

06/2012 → 12/2017

Lpl Financial Llc

Wilmington, NC
01/2018 → Present

Cascades Capital Asset Management

Greensboro, NC

Previous Registrations

2012-06-27 → 2018-01-19

Lpl Financial Llc

Wilmington, NC

Greenwood, SC
2012-06-06 → 2012-06-19

Wells Fargo Clearing Services, Llc

Lumberton, NC

Wilmington, NC

Clinton, NC

Wilmington, NC

Wilmington, NC

Raleigh, NC

Other Businesses

(1) 07/11/2016: No Business Name - Real Estate Rental - INV REL - Start 06/02/2016 - 1613 Oaklawn Ave, Greenville, NC - Owner of property - 1 Hr/Mo; 0 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-06-05
S65	Uniform Investment Adviser Law Examination	1995-09-26
S63	Uniform Securities Agent State Law Examination	1987-11-16

S66 Uniform Combined State Law Examination

2012-06-05
S65 Uniform Investment Adviser Law Examination

1995-09-26
S63 Uniform Securities Agent State Law Examination

1987-11-16

Other Names

Jack W Richardson

View on SEC IAPD