Samuel W. Brand
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.
Samuel Warren Brand, who also goes by Samuel W Brand, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1986. Samuel had worked at 5 firms and has passed the Series 65, 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
February 3, 2016 - March 27, 2017
CADARET, GRANT & CO., INC.
October 25, 2002 - September 23, 2003
CADARET, GRANT & CO., INC.
November 7, 1995 - March 27, 2017
CADARET, GRANT & CO., INC.
July 19, 1989 - November 14, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 19, 1989 - November 14, 1995
EQUITABLE ADVISORS, LLC
April 11, 1988 - July 26, 1989
LEHMAN BROTHERS INC.
January 1, 1986 - April 11, 1988
E. F. HUTTON & COMPANY 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.
