Joseph T. Ficano
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.
Joseph Thomas Ficano was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1989 - October 1, 2014
CADARET, GRANT & CO., INC.
July 31, 1985 - October 2, 1989
CADARET, GRANT & CO., INC.
January 1, 1984 - September 9, 1986
NATHAN & LEWIS SECURITIES, INC.
April 1, 1971 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
April 1, 1971 - May 23, 1984
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
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
Series 1
Date: 3/24/1971
Registered Representative ExaminationCurrent 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.
