Andrew J. Barilec
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.
Andrew John Barilec, CFP® was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1982. Andrew had worked at 13 firms and has passed the Series 63, SIE, Series 15, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2007 - August 31, 2023
CADARET, GRANT & CO., INC.
November 17, 2006 - August 24, 2007
VALIC FINANCIAL ADVISORS, INC.
November 17, 2006 - August 24, 2007
VALIC FINANCIAL ADVISORS, INC.
October 31, 2005 - November 24, 2006
OSAIC SERVICES, INC.
June 3, 1998 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 30, 1995 - June 2, 1998
OSAIC WEALTH, INC.
February 17, 1994 - August 9, 1995
EDWARD JONES
July 5, 1990 - February 18, 1994
IFMG SECURITIES, INC.
January 29, 1990 - July 12, 1990
AMERICAN CAPITAL CORPORATION
June 7, 1988 - April 10, 1989
LPL FINANCIAL LLC
February 28, 1987 - February 13, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
May 13, 1986 - February 18, 1987
THOMSON MCKINNON SECURITIES INC.
August 23, 1983 - May 5, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 16, 1982 - March 27, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/15/1986
Foreign Currency Options ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
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 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
