Alfred T. Benelli
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.
Alfred Thomas Benelli was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1993. Alfred had worked at 7 firms and has passed the Series 65, Series 63, 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
March 1, 2010 - June 10, 2013
CADARET, GRANT & CO., INC.
March 1, 2010 - June 10, 2013
CADARET, GRANT & CO., INC.
November 1, 2005 - March 2, 2010
CAPITAL FINANCIAL SERVICES, INC.
November 1, 2005 - March 2, 2010
CAPITAL FINANCIAL SERVICES, INC.
March 31, 2004 - October 31, 2005
EMPIRE FINANCIAL GROUP, INC.
December 19, 2003 - October 31, 2005
JESUP & LAMONT ADVISORS
December 2, 2003 - December 19, 2003
EMPIRE FINANCIAL GROUP, INC.
August 7, 2002 - July 22, 2004
FREEDOM ASSET MANAGEMENT, INC.
March 21, 2002 - March 29, 2004
FREEDOM FINANCIAL, INC.
August 16, 1993 - February 19, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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.
