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MD

Mark W. Davidson

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CRD#: 1008171
MD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark William Davidson was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) INSURANCE SALES, NEW YORK, START 1979, LESS THEN 1% OF TIME DEVOTED TO ACTIVITY, SELL LIFE, VA, ACCIDENT AND HEALTH, P&C, LTC INSURANCE PRODUCTS IN NY AND FL. 2) MAPLE CITY SAVINGS BANK, HORNELL, NY, START 12/08, NON-INVESTMENT RELATED, 3-5 HRS MONTHLY, 1 HR MONTHLY DURING TRADING, DIRECTOR/MANAGEMENT, GUIDANCE, REVIEW, APPROVE & AUTHORIZE PROCEDURES & POLICIES, GENERAL LOAN APPROVAL, OVERSEE CERTAIN PERSONAL ISSUES, APPROVAL OF MINUTES & MOTIONS, STRATEGIC PLANNING, ETC. BEGINNING 4/1/2019, MAPLE CITY FINANCIAL SERVICES/MAPLE CITY SAVINGS BANK, VICE PRESIDENT, MERGER ACQUISITION OF BOOK OF BUSINESS INTO MCSB, 160 HOURS PER MONTH. 3) BOY SCOUTS OF AMERICA, HORNELL, NY, NON INVESTMENT RELATED, VOLUNTEER FUND RAISING COORDINATOR, 2 HRS MONTHLY, 0 HRS DURING TRADING, COORDINATE FUND RAISING DRIVE FOR FRIENDS OF SCOUTING. 4) DBA: MAPLE CITY FINANCIAL SERVICES, VICE PRESIDENT SINCE 4/15/20, 1 BROADWAY MALL, HORNELL, NY, LOCAL IDENTITY OF BRANCH OFFICE, 160 HOURS PER MONTH.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 4, 2021 - April 5, 2024

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
HORNELL, NY
Past

July 22, 1991 - April 5, 2024

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
HORNELL, NY
Past

November 4, 1986 - July 26, 1991

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
ROCHESTER, NY
Past

May 31, 1985 - November 10, 1986

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

September 16, 1981 - June 18, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

September 16, 1981 - June 18, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/19/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/8/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/1987
General Securities Principal Examination

Current Firm

CG
CADARET, GRANT & CO., INC.
ADAMS LAVENTURA & ASSOCIATES | THE RETIREMENT OPTIMIZATION GROUP | SYRACUSE WEALTH MANAGEMENT | SPARTAN WEALTH MANAGEMENT | SC PARKER LLC | SC FINANCIAL GROUP LLC | ROBERT F. FAHEY JR. & ASSOCIATES | PROFESSIONAL FINANCIAL CONSULTANTS LLC | POMBO WEALTH MANAGEMENT | PETERSEN ADVISORS | MARATHON FINANCIAL ADVISORS, INC. | MARASCO WEALTH | LAWSON WINCHESTER WEALTH MANAGEMENT | INSIGHT FINANCIAL | EMS WEALTH MANAGEMENT | CYPRESS PRIVATE WEALTH | CAPITAL MANAGEMENT STRATEGIES LLC | CAPITAL MANAGEMENT GROUP OF NIAGARA | CADARET, GRANT & CO., INC. | CADARET GRANT & CO INC | BRIARWOOD WEALTH MANAGEMENT, LLC | BNL SECURITIES INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
100 Madison Street Suite 1300, Syracuse, NY 13202
Mailing Address
Phone number
(800) 288-8601
Established
Delaware since 04/16/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
692

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)
CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AWS 4, INC.SHAREHOLDER
MORRISSEY, WILLIAM PAULPRESIDENT1575389
SCHUMANN, ALEXIS VADVISORY CHIEF COMPLIANCE OFFICER3157769
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHA LYNNPRINCIPAL FINANCIAL OFFICER3197368

Regulatory assets under management

Total Number of Accounts25,442
AUM (Assets Under Management)$ 7,671,069,034

Disclosures

Regulatory Event17
Arbitration4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/14/2024
Cover Page
Report
01/10/2024
Cover Page
Report
12/14/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CADARET, GRANT & CO., INC.

CRD#: 10641

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