Carolyn J. Blair
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.
Carolyn Joyce Blair was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1983. Carolyn had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - August 14, 2024
CADARET, GRANT & CO., INC.
September 7, 2010 - August 14, 2024
CADARET, GRANT & CO., INC.
January 22, 2001 - September 7, 2010
EQUITAS AMERICA, LLC
July 8, 1999 - January 22, 2001
HANTZ FINANCIAL SERVICES, INC.
December 19, 1997 - June 18, 1999
VESTAX SECURITIES CORPORATION
February 13, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
February 13, 1985 - October 24, 1997
IDS LIFE INSURANCE COMPANY
February 13, 1985 - October 24, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
December 21, 1983 - February 1, 1985
AMERIPRISE ADVISOR 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
Current 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.
