Theresa Brock has been an investment adviser representative at Cascade Investment Group since June 2018, and is not listed among the firm’s executive officers or direct owners.
Cascade Investment Group, Inc. is a Colorado Springs, CO firm with $420M under management, 623 clients and 4 advisers in one office, as of its March 2026 filing.
- – present · 8 yearsColorado Springs, CO · Adviser representative · Firm CRD 35844
Investment adviser representative registrations
Theresa Brock is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2018; the most recent is Texas, in November 2020.
- ColoradoSince 7 June 2018
- TexasResidentSince 10 November 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 16 March 2026 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 7 June 2018 |
| Series 7 | General Securities Representative Examination | 19 July 2010 |
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Theresa G Brock
- CRD
- 5481762
- Firm
- Cascade Investment Group · CRD 35844
- Office
- 444 E. PIKES PEAK AVENUE, SUITE 200, Colorado Springs, CO 80903
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2012
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Theresa Brock work?
Theresa Brock is an investment adviser representative registered through Cascade Investment Group, Inc. since June 2018, and is not listed among the firm’s executive officers or direct owners.
Is Theresa Brock a financial advisor?
Yes. Theresa Brock has a current investment-adviser registration in Colorado and Texas, through Cascade Investment Group since June 2018.
How many years of experience does Theresa Brock have?
Theresa Brock has 14 years in the financial industry, since July 2012, across 1 adviser firm.
What exams has Theresa Brock passed?
Theresa Brock has passed 3 licensing exams: the Series 7, Series 66 and Series 28. The earliest, the Series 7, was passed in July 2010. FINRA credited Theresa Brock with the SIE, which began in October 2018.
Where is Theresa Brock based?
Theresa Brock’s registered office is in Colorado Springs, CO.
Is Theresa Brock registered with FINRA?
Yes. Theresa Brock has a current broker registration, under CRD 5481762.
Source: FINRA BrokerCheck
How can I verify Theresa Brock’s record?
Search CRD 5481762 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Theresa Brock’s full registration record.
