George M. Awad
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.
George Michael Awad was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 26 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2013 - June 30, 2020
CADARET, GRANT & CO., INC.
April 3, 2013 - June 30, 2020
CADARET, GRANT & CO., INC.
April 11, 2012 - October 3, 2012
CUNA BROKERAGE SERVICES, INC.
January 14, 2011 - January 31, 2012
INVEST FINANCIAL CORPORATION
August 11, 2009 - January 27, 2011
COMMUNITY INVESTMENT SERVICES, INC.
May 29, 2009 - August 6, 2009
MSI FINANCIAL SERVICES, INC.
March 25, 2009 - May 8, 2009
M&T SECURITIES, INC.
January 1, 2005 - October 2, 2007
HSBC SECURITIES (USA) INC.
April 9, 1999 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 1, 1996 - March 30, 1999
A. G. EDWARDS & SONS, INC.
November 13, 1984 - November 21, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 13, 1984 - November 21, 1996
SIGNATOR INVESTORS, 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.
