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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-06-20 |
| TX | RA | APPROVED_RES | 2024-06-20 |
Branch Locations
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Plattsburgh | NY | 05/2006 | 06/2024 |
| Financial Services | Plattsburgh | NY | 01/1995 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2024 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/1989 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: CHAMPLAIN TECHNOLOGY GROUP INVESTMENT RELATED: NO ADDRESS: 11118 US -9 CHAMPLAIN NY 12919 NATURE OF BUSINESS: TELEPHONE / INTERNET COMPANY START DATE: 01/1995 POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTOR 3. NAME OF OTHER BUSINESS: FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/1995 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-07 |
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