Dianne L. Cooper

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CRD#: 1022008

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.

Dianne Louise Cooper was a registered financial professional .

Dianne is a previously registered financial professional and started their career in finance in 1982. Dianne had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

October 1, 2012 - July 29, 2014

CADARET, GRANT & CO., INC.

CRD#: 10641

ELMIRA, NY

Past

October 13, 1999 - October 1, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

ELMIRA, NY

Past

October 29, 1996 - September 14, 1999

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

March 25, 1982 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 21, 1982 - April 24, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CADARET, GRANT & CO., INC.

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

RIA

Registered Investment Advisory firm - SEC (11/23/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/5/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2010

General Securities Principal Examination

Current Firm

CADARET, GRANT & CO., INC.

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

RIA

Registered Investment Advisory firm - SEC (11/23/1992 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

100 Madison Street Suite 1300, Syracuse, NY 13202

Mailing Address

100 Madison Street Suite 1300, Syracuse, NY 13202

Phone number

(800) 288-8601

Established

Delaware since 04/16/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

692

SEC notice filing (53 States and Territories)

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

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

Name	Position	CRD#
AWS 4, INC.	SHAREHOLDER
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

Regulatory assets under management

Total Number of Accounts	25,442
AUM (Assets Under Management)	$ 7,671,069,034

Disclosures

Regulatory Event	17
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/14/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

Red Flags

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