Kevin Serrapede has been Chief Compliance Officer of Northwind Financial since May 2026, is a control person of the firm and directly owns under 5% of it.
Northwind Financial LLC is a Bend, OR firm with $142M under management, 168 clients and 2 advisers in one office, as of its August 2026 filing.
Kevin Serrapede’s longest registration was 22 years at Capstone Wealth Management Group, LLC (2004–2026). Before joining Northwind Financial in 2026, Kevin Serrapede was registered through Capstone Wealth Management Group, Inc. and Capstone Wealth Management Group, LLC.
- Northwind Financial LLCCurrent– present · under a yearBend, OR · Adviser representative · Firm CRD 342069
- Capstone Wealth Management Group, Inc.– · under a yearBend, OR · Adviser representative · Firm CRD 340135
- Capstone Wealth Management Group, LLC– · 22 yearsBend, OR · Adviser representative · Firm CRD 128097
Investment adviser representative registrations
Kevin Serrapede is registered as an investment adviser representative in 3 states. The first approvals date from May 2026; the most recent is Washington, in August 2026.
- OhioSince 15 June 2026
- OregonSince 29 May 2026
- WashingtonSince 31 August 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 27 May 2005 |
| Series 7 | General Securities Representative Examination | 7 July 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 June 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 April 2004 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 July 1990 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Kevin John Serrapede
- CRD
- 2074389
- Firm
- Northwind Financial · CRD 342069
- Role
- Chief Compliance Officer
- Office
- 2445 NE DIVISION ST, STE 204, Bend, OR 97703-3568
- Registration
- Investment adviser registration
- In the industry since
- July 2004
- Disciplinary history
- Not yet shown here · SEC record
Where does Kevin Serrapede work?
Kevin Serrapede has been Chief Compliance Officer of Northwind Financial LLC since May 2026, and is a control person of the firm.
Is Kevin Serrapede a financial advisor?
Yes. Kevin Serrapede has a current investment-adviser registration in Ohio, Oregon and Washington, through Northwind Financial since May 2026.
How many years of experience does Kevin Serrapede have?
Kevin Serrapede has 22 years in the financial industry, since July 2004, across 3 adviser firms.
What exams has Kevin Serrapede passed?
Kevin Serrapede has passed 5 licensing exams: the Series 6, Series 65, Series 63, Series 7 and Series 24. The earliest, the Series 6, was passed in July 1990.
Where is Kevin Serrapede based?
Kevin Serrapede’s registered office is in Bend, OR.
Is Kevin Serrapede registered with FINRA?
No. Kevin Serrapede has no current broker registration.
How can I verify Kevin Serrapede’s record?
Search CRD 2074389 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kevin Serrapede’s full registration record.