Stanley M. Blaustein
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.
Stanley Meyer Blaustein was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1960. Stanley had worked at 11 firms and has passed the Series 63, SIE, PC and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2019 - March 11, 2020
CADARET, GRANT & CO., INC.
February 23, 2018 - May 30, 2019
OSAIC WEALTH, INC.
January 2, 2014 - February 27, 2018
PETERSEN INVESTMENTS, INC.
November 4, 2008 - January 21, 2014
OPPENHEIMER & CO. INC.
October 31, 2005 - November 4, 2008
BREAN CAPITAL, LLC
August 16, 2002 - March 14, 2006
BREAN MURRAY & CO., INC.
August 29, 2000 - August 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 22, 1988 - August 23, 2000
J.P. MORGAN SECURITIES LLC
September 17, 1976 - February 10, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
March 11, 1975 - November 3, 1976
LEHMAN BROTHERS INCORPORATED
June 30, 1960 - March 20, 1975
ABRAHAM & CO., 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
PC
Date: 1/17/1978
AMEX Put and Call ExamSeries 12
Date: 3/19/1979
NYSE Branch Manager 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.
