Roger P. Hursh
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.
Roger Paul Hursh was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2006 - November 18, 2022
CADARET, GRANT & CO., INC.
March 29, 1996 - May 26, 2006
FIRST ALLIED SECURITIES, INC.
October 1, 1991 - November 17, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 1, 1991 - November 17, 1995
SIGNATOR INVESTORS, INC.
January 29, 1987 - July 31, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 29, 1987 - July 31, 1991
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.
