CADARET, GRANT & CO., INC. of SYRACUSE, NY is an SEC-registered investment adviser (CRD 10641). Regulatory assets under management: $7.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Johnson Lee | CCO (BD ONLY), SR. VICE PRESIDENT, SECRETARY & DIRECTOR; CHIEF COMPLIANCE OFFICER (BD ONLY), SR. VICE PRESIDENT, SECRETARY & DIRECTOR; DIRECTOR, SECRETARY & SR. VICE PRESIDENT (+2 more) | Taipei City 100, F5 |
| Laura Nicole White | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Trisha Lynn Tymkiw | PRINCIPAL FINANCIAL OFFICER | — |
| Alexis V Schumann | CHIEF COMPLIANCE OFFICER | — |
| William Paul Morrissey | PRESIDENT | — |
| Christopher Fredric Herrel | HEAD OF SUPERVISION | — |
| Eugene Henri Elias Jr | DIRECTOR | — |
| Douglas John Ketterer | CHAIRMAN OF THE BOARD | — |
| GRANT ARTHUR FRANCIS | CHAIRMAN, CEO, PRESIDENT; SHAREHOLDER | — |
| POTO NORLYN FEDLMAN | SHAREHOLDER; SR. VICE PRESIDENT & DIRECTOR | — |
| TAYLOR DONALD JOHN | CFO, TREASURER & DIRECTOR, MANAGING DIRECTOR; FIRST VICE PRESIDENT, CFO, TREASURER; FIRST VICE PRESIDENT, CFO, TREASURER & DIRECTOR (+4 more) | — |
| GANLEY MARYPATRICE | FIRST VICE PRESIDENT; VICE PRESIDENT | — |
| GRIFO PETER DONALD | FIRST VICE PRESIDENT; VICE PRESIDENT | — |
| GEE BONNIE NELL | FIRST VICE PRESIDENT; VICE PRESIDENT | — |
| FARRELL DONNA MARIE | ASSISTANT SECRETARY; ASSISTANT VICE PRESIDENT/ASSISTANT SECRETARY | — |
| CRESSMAN LAUREN GRANT | VICE PRESIDENT | — |
| JAYNES DONALD BRUCE | FIRST VICE PRESIDENT; FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER (IA ONLY); VICE PRESIDENT (+2 more) | — |
| MOORE EDWARD B | CCO (IA ONLY); CHIEF COMPLIANCE OFFICER (IA ONLY) | — |
| JOHNSON ROBERT L | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR; HEAD OF BRANCH SUPERVISION | — |
| OBRIEN DAVID | ASSISTANT VICE PRESIDENT; VICE PRESIDENT | — |
| HAYES JAMES C | ASSISTANT VICE PRESIDENT | — |
| FELDMAN NORLYN SUE | SHAREHOLDER; SR. VICE PRESIDENT; SR. VICE PRESIDENT & DIRECTOR | — |
| KISH DONNA MARIE | ASSISTANT SECRETARY | — |
| MORRISSEY BRIAN PAUL | PRESIDENT | — |
| ARNOLD MICHAEL EDWARD | VICE PRESIDENT; VICE PRESIDENT/TRADING | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST CADARET, GRANT & CO., INC. (CADARET GRANT OR RESPONDENT). IN ANTICIPATION OF THE INSTITUTION OF THESE… | Final | $1.0M |
| 2020-07-01 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE ACTIVITIES OF A REGISTERED REPRESENTATIVE, WHO ENGAGED IN THREE UNDISCLOSED FRAUDULENT PRIVATE SECURITIES TRANSACTIONS, COMPLIED WITH… | Final | $200K |
| 2019-12-18 | regulatory | CG EMPLOYED AT LEAST ONE UNREGISTERED INVESTMENT ADVISOR IN VIOLATION OF SECTION 301 (C.1)(1)(II) OF THE 1972 ACT. | Final | $90K |
| 2018-09-11 | regulatory | CADARET GRANT FAILED REASONABLY TO SUPERVISE CERTAIN OF ITS REGISTERED REPRESENTATIVES WHO ULTIMATELY RECOMMENDED CERTAIN EXCHANGE TRADED NOTES ("ETNS") TO RETAIL CUSTOMERS WITHOUT A REASONABLE BASIS FOR DOING SO. | Final | $500K |
| 2018-09-11 | regulatory | FAILURE TO IMPLEMENT A SYSTEM REASONABLY DESIGNED TO DETECT UNSUITABLE SECURITIES RECOMMENDATIONS. FAILURE TO IMPLEMENT A SYSTEM REASONABLY DESIGNED TO SUPERVISE VARIABLE ANNUITY RECOMMENDATIONS. FAILURE TO IMPLEMENT A SYSTEM REASONABLE DESIGNED TO SUPERVISE CONSOLIDATED REPORTS. FAILURE TO RETAIN E… | Final | $800K |
| 2017-10-16 | regulatory | BETWEEN 2010-2018, FIRM FAILED TO REGISTER A MASSACHUSETTS REPRESENTATIVE AS AN IAR. | Final | $75K |
| 2017-08-01 | regulatory | THE SEC FOUND THAT BETWEEN 2011 AND 2016, CADARET, GRANT & CO., INC. ("CADARET") PLACED INVESTMENT ADVISORY CLIENTS INTO MUTUAL FUNDS THAT CHARGED 12B-1 FEES RATHER THAN IN LOWER COST MUTUAL FUNDS THAT DID NOT CHARGE 12B-1 FEES. THE SEC ALSO FOUND THAT CADARET PLACED INVESTMENT ADVISORY CLIENTS INTO… | Final | $280K |
| 2014-09-02 | regulatory | FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE VARIABLE ANNUITY SURRENDERS RECOMMENDED OR PROCESSED BY THE FIRM'S REGISTERED REPRESENTATIVES WHERE THE SURRENDERS WERE NOT PART OF AN EXCHANGE OR REPLACEMENT DONE THROUGH THE FIRM IN VIOLATION OF NASD RULE 3010… | Final | $75K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| JERICHO | NY | 20 | 516-932-5130 |
| NIAGARA FALLS | NY | 19 | 716-297-0981 |
| BIRMINGHAM FARMS | MI | 14 | 248-297-6600 |
| WEST SENECA | NY | 13 | 716-674-6700 |
| — | — | 12 | 248-297-6600 |
| ORCHARD PARK | NY | 10 | 716-312-7424 |
| PITTSFORD | NY | 9 | 585-249-1030 |
| LITTLE SILVER | NJ | 7 | 732-528-0880 |
| LATHAM | NY | 7 | 518-462-5350 |
| GLASTONBURY | CT | 6 | 860-659-5977 |
| WORTHINGTON | OH | 6 | 614-431-4331 |
| CLARENCE | NY | 6 | 716- 932-3028 |
| LIVERPOOL | NY | 5 | 315-451-5885 |
| BOCA RATON | FL | 5 | 866-932-5130 |
| WILLIAMSVILLE | NY | 5 | 716-262-0141 |