Joanne H. Snider
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.
Joanne Holtzman Snider, who also goes by Joanne Holtzman, Joanne Holtzman Snider, Joanne Snider, was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 1993. Joanne had worked at 15 firms and has passed the Series 65, Series 63, Series 7 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
August 16, 2010 - December 31, 2012
CADARET, GRANT & CO., INC.
August 12, 2010 - December 31, 2012
CADARET, GRANT & CO., INC.
July 2, 2010 - August 12, 2010
EQUITAS AMERICA, LLC
January 2, 2009 - August 12, 2010
EQUITAS AMERICA, LLC
September 25, 2008 - January 20, 2009
A.G. MORGAN FINANCIAL, LLC
July 11, 2008 - December 17, 2008
OSAIC SERVICES, INC.
March 29, 2007 - July 3, 2008
MML INVESTORS SERVICES, LLC
September 11, 2006 - February 23, 2007
IFMG SECURITIES, INC.
August 1, 2006 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
October 2, 2000 - August 1, 2006
EQUITAS AMERICA, LLC
August 31, 2000 - October 9, 2000
1717 CAPITAL MANAGEMENT COMPANY
December 21, 1999 - August 25, 2000
ONEAMERICA SECURITIES, INC.
December 21, 1999 - August 25, 2000
AMERICAN UNITED LIFE INSURANCE COMPANY
July 31, 1999 - December 20, 1999
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 23, 1999 - July 15, 1999
HANTZ FINANCIAL SERVICES, INC.
December 15, 1997 - June 25, 1999
VESTAX SECURITIES CORPORATION
June 25, 1993 - October 24, 1997
IDS LIFE INSURANCE COMPANY
June 25, 1993 - October 24, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
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 |
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.
