Claire S. Longden
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.
Claire Suzanne Longden was a registered financial professional .
Claire is a previously registered financial professional and started their career in finance in 1969. Claire had worked at 6 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1989 - December 21, 1999
CADARET, GRANT & CO., INC.
March 31, 1989 - October 2, 1989
CADARET, GRANT & CO., INC.
December 5, 1975 - April 12, 1989
BUTCHER & SINGER INC.
October 19, 1973 - January 12, 1976
ALEX. BROWN & SONS INCORPORATED
August 3, 1973 - November 4, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 8, 1969 - August 27, 1973
F S SMITHERS & CO 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 1
Date: 3/4/1966
Registered Representative ExaminationSeries 40
Date: 1/26/1976
Registered Principal 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.
