Richard A. Dalessandro
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.
Richard Alan Dalessandro, who also goes by Rich Dalessandro, Rick Dalessandro, Richard Alan Dallesandro, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 63 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
May 3, 1999 - June 16, 1999
CADARET, GRANT & CO., INC.
February 5, 1997 - October 7, 1997
STUART STONE & CO., LLC
January 1, 1991 - January 3, 1995
GRAYSON FINANCIAL LLC
November 25, 1987 - May 17, 1989
INDIVIDUAL'S SECURITIES LTD.
January 17, 1986 - April 25, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
October 1, 1985 - December 27, 1985
INDIVIDUAL'S SECURITIES LTD.
April 2, 1985 - July 10, 1985
GREENTREE SECURITIES CORP.
December 21, 1984 - February 25, 1985
BLINDER, ROBINSON & CO., 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.
