Gerald A. Scanapieco
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.
Gerald A Scanapieco, who also goes by Jerry Scanapieco, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1991. Gerald had worked at 9 firms and has passed the Series 63, SIE 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
August 7, 2014 - June 1, 2016
CADARET, GRANT & CO., INC.
June 7, 2007 - August 19, 2014
OSAIC FS, INC.
June 1, 2004 - June 19, 2007
LPL FINANCIAL LLC
January 24, 2001 - March 8, 2004
BNY INVESTMENT CENTER INC.
June 1, 2000 - November 14, 2000
DIME SECURITIES, INC.
December 10, 1999 - May 26, 2000
M&T SECURITIES, INC.
November 13, 1997 - December 17, 1999
CITICORP INVESTMENT SERVICES
October 21, 1991 - November 26, 1997
METROPOLITAN LIFE INSURANCE COMPANY
October 21, 1991 - November 26, 1997
MSI 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.
