AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KO

Kevin D. O'brien

Some features on this profile are disabled
CRD#: 3020184
KO

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.

Kevin Daniel O'brien, who also goes by Kevin Daniel O'brien, Kevin Daniel Obrien, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Daniel O'brien | Kevin Daniel Obrien

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.
1) Grenier Financial Advisors, One Monarch Place, #810, Springfield, MA 01144, September 2023 to present, investment related, Salaried Employee, 160 hours per month, 140 hours during trading, client relationship management; 2) Rental Property, 1 1/2 Allen Ave, Westfield, MA 01085, 100% owner, not investment related, April 2010 to present, 2 hours per month, 0 during trading, landlord/property owner.

Blog Corner

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

January 2, 2024 - February 22, 2024

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
WETHERSFIELD, CT
Past

November 28, 2023 - February 22, 2024

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
WETHERSFIELD, CT
Past

January 12, 2021 - August 19, 2022

FIDUCIENT ADVISORS LLC

RIA
CRD#: 106720
WINDSOR, CT
Past

June 1, 2011 - December 31, 2020

FIDUCIARY INVESTMENT ADVISORS, LLC

RIA
CRD#: 140675
WINDSOR, CT
Past

September 13, 2006 - March 7, 2007

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
BOSTON, MA
Past

July 18, 2000 - September 15, 2006

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

March 21, 1998 - April 24, 2000

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

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
RR
Series 63
Date: 12/21/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/7/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/6/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2001
General Securities Principal Examination

Current Firm

CG
CADARET, GRANT & CO., INC.
ADAMS LAVENTURA & ASSOCIATES | THE RETIREMENT OPTIMIZATION GROUP | SYRACUSE WEALTH MANAGEMENT | SPARTAN WEALTH MANAGEMENT | SC PARKER LLC | SC FINANCIAL GROUP LLC | ROBERT F. FAHEY JR. & ASSOCIATES | PROFESSIONAL FINANCIAL CONSULTANTS LLC | POMBO WEALTH MANAGEMENT | PETERSEN ADVISORS | MARATHON FINANCIAL ADVISORS, INC. | MARASCO WEALTH | LAWSON WINCHESTER WEALTH MANAGEMENT | INSIGHT FINANCIAL | EMS WEALTH MANAGEMENT | CYPRESS PRIVATE WEALTH | CAPITAL MANAGEMENT STRATEGIES LLC | CAPITAL MANAGEMENT GROUP OF NIAGARA | CADARET, GRANT & CO., INC. | CADARET GRANT & CO INC | BRIARWOOD WEALTH MANAGEMENT, LLC | BNL SECURITIES INC.

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

BD
Terminated by SEC on 12/09/2025
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
AWS 4, INC.SHAREHOLDER
MORRISSEY, WILLIAM PAULPRESIDENT1575389
SCHUMANN, ALEXIS VADVISORY CHIEF COMPLIANCE OFFICER3157769
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHA LYNNPRINCIPAL FINANCIAL OFFICER3197368

Regulatory assets under management

Total Number of Accounts25,442
AUM (Assets Under Management)$ 7,671,069,034

Disclosures

Regulatory Event17
Arbitration4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CADARET, GRANT & CO., INC.

CRD#: 10641

TRUST BUT VERIFY

Monitor Kevin O'brien

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics