Douglas S. Albert
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.
Douglas Scott Albert was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2014 - September 4, 2020
CADARET, GRANT & CO., INC.
September 22, 2014 - September 4, 2020
CADARET, GRANT & CO., INC.
March 22, 2007 - November 8, 2012
SPC
March 19, 2007 - November 8, 2012
PARKLAND SECURITIES, LLC
January 10, 2007 - March 23, 2007
OSAIC FS, INC.
April 1, 2005 - March 23, 2007
OSAIC FS, INC.
April 26, 2002 - October 16, 2003
EQUITY SERVICES, INC.
January 8, 1998 - August 1, 2001
NEW ENGLAND SECURITIES
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.
