Scott M. Haarbauer
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.
Scott Michael Haarbauer, who also goes by Scott Michael H, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - January 4, 2021
CADARET, GRANT & CO., INC.
January 11, 2007 - December 31, 2008
CADARET, GRANT & CO., INC.
January 10, 2007 - January 4, 2021
CADARET, GRANT & CO., INC.
June 21, 2006 - January 3, 2007
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
September 29, 2001 - January 3, 2007
LASALLE ST SECURITIES, L.L.C.
November 20, 1998 - October 1, 2001
EISNER SECURITIES, INC.
May 1, 1992 - November 12, 1998
PFS INVESTMENTS 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.
