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Chief Compliance Officer · Quadcap Wealth Management, LLC

Denise J. Brochu

CRD 5165569 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Quadcap Wealth Management, LLC, an SEC-registered wealth manager based in Frisco, TX with $1.3 billion in regulatory assets, lists Denise J. Brochu on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name Denise at 1 other registered adviser.

Firms and roles

AtlasMembers

Denise’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (10)

  • David BlairChief Executive Officer, Quadcap Wealth Management, LLC
  • Cortnie L. RodriguezSVP, Partner, CFO, Quadcap Wealth Management, LLC
  • Natalie K. LomasChief Operating Officer, SR. Compliance Officer, Quadcap Wealth Management, LLC
  • Robert C. AlstonPartner/director of Asset Allocation, Quadcap Wealth Management, LLC
  • Mark C. ScalzoManaging Partner, Chief Investment Officer, Member, Series C Units, Validex Global Investing

5 more people named with Denise on the same filings, with titles and firms. Free in Atlas with a free account.

See all 10 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Denise’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.