Gerald R. Dewes

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CRD#: 2465538

Professional summary

Gerald Roger Dewes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerald is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Gerald had worked at 8 firms, which includes CADARET GRANT & CO. INC., OSAIC FS INC., NORTHEAST SECURITIES LLC, CAMBRIDGE INVESTMENT RESEARCH INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., SECURITIES AMERICA INC., H.J. MEYERS & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 7, 2014 - November 19, 2019

CADARET, GRANT & CO., INC.

CRD#: 10641

East Amherst, NY

Past

December 17, 2004 - August 21, 2014

OSAIC FS, INC.

CRD#: 3870

WILLIAMSVILLE, NY

Past

August 8, 2002 - January 11, 2005

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

November 7, 2000 - August 12, 2002

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

January 1, 1997 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

January 1, 1997 - December 1, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 24, 1995 - December 5, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 7, 1994 - January 31, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/2005

General Securities Principal Examination

Current Firm

CADARET, GRANT & CO., INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

Terminated by SEC on 12/09/2025

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Contact information

Main Address

100 Madison Street Suite 1300, Syracuse, NY 13202

Mailing Address

Phone number

(800) 288-8601

Established

Delaware since 04/16/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

692

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 4, INC.	SHAREHOLDER
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

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	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

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.

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Firm Stability Insights

Gerald R. Dewes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC FS, INC.

NORTHEAST SECURITIES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

SECURITIES AMERICA, INC.

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1994

Series 24

Date: 10/6/2005

Current Firm

CADARET, GRANT & CO., INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CADARET, GRANT & CO., INC.

TRUST BUT VERIFY

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