Edward W. Carey
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.
Edward Walter Carey was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - July 31, 2020
CADARET, GRANT & CO., INC.
October 11, 1999 - November 7, 2008
FIRST MONTAUK SECURITIES CORP.
November 13, 1992 - October 13, 1999
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - November 25, 1992
LEHMAN BROTHERS INC.
April 21, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
May 27, 1986 - November 25, 1992
LEHMAN BROTHERS INC.
September 9, 1985 - June 18, 1986
E. F. HUTTON & COMPANY INC
October 19, 1983 - August 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
