Robert G. Braem
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.
Robert Gustaaf Braem, who also goes by Bob Braem, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 5 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1990 - April 24, 2023
CADARET, GRANT & CO., INC.
December 22, 1989 - February 27, 1990
FOCUS II SECURITIES, INC.
December 12, 1988 - November 22, 1989
CADARET, GRANT & CO., INC.
November 7, 1984 - November 22, 1988
FOCUS SECURITIES, INC.
October 5, 1983 - November 16, 1984
UNI EQ INVESTMENT GROUP, INC.
March 4, 1971 - December 25, 1981
HACKETT ASSOCIATES, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/1/1971
Registered Representative 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.
