Dana M. Capozzella

 

Chief Compliance Officer / Operations Manager

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Dana Capozzella is the Chief Compliance Officer and Operations Manager. She has extensive knowledge in the areas of office management, compliance issues, security, and new accounts processing. Dana assisted Ken Beach and Craig Ralston in the establishment of the Cascade Investment Group, Inc. Colorado Springs office in 1996.

Dana is active in her community and currently serves on the Board of the Sachs Foundation, the Rampart Library Board of Trustees, and is a member of the Rotary Club of Pikes Peak. Dana retired from 27 years of military service in September 2014. She was the first female Brigadier General in the Colorado National Guard (CONG) where she served as the Assistant Adjutant General (CONG) and Commander of the Colorado Army National Guard from October 2009 to September 2014.

Dana is a 37-year resident of the Pikes Peak Region where she lives with her family. In her leisure time, Dana enjoys hiking, camping, reading, and skiing. Dana received her B.S. from St. Lawrence University, Canton, NY and her Master’s in Strategic Military Studies from the Army War College, Carlisle, PA. In addition, Dana is a 2013 graduate of the Colorado Springs Leadership Institute.

Professional Licenses:

• Series 7 licensed as Full Registration/General Securities Representative by the Financial Industry Regulatory Authority (FINRA)
• Series 14 licensed as Compliance Officer by the Financial Industry Regulatory Authority (FINRA)
• Series 24 licensed as General Securities Principal by the Financial Industry Regulatory Authority (FINRA)
• Series 79 licensed as Investment Banking Representative by the Financial Industry Regulatory Authority (FINRA)
• Series 99 licensed as Operations Professional by the Financial Industry Regulatory Authority (FINRA)