Susan N. Daddona
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.
Susan Nasta Daddona, who also goes by Susan Nasta, Nasta Rosenking, Susan Nasta Rosenking, Susan Rosenking, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1985. Susan had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2013 - January 2, 2015
CADARET, GRANT & CO., INC.
July 1, 2008 - December 31, 2012
INVESTORS CAPITAL CORP.
December 8, 2000 - July 10, 2008
NATIONAL PLANNING CORPORATION
October 1, 1999 - December 12, 2000
SECURITIES AMERICA, INC.
December 16, 1996 - October 11, 1999
LPL FINANCIAL LLC
January 11, 1994 - December 18, 1996
PMG SECURITIES CORPORATION
November 19, 1989 - January 12, 1994
OSAIC WEALTH, INC.
March 29, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 4, 1985 - April 12, 1988
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
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.
