Gary T. Kolodziejczyk
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.
Gary Thomas Kolodziejczyk SR, who also goes by Gary T. Kolo, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1998. Gary had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2021 - July 20, 2021
CADARET, GRANT & CO., INC.
December 12, 2016 - July 20, 2021
CADARET, GRANT & CO., INC.
November 20, 2007 - December 15, 2016
HORNOR, TOWNSEND & KENT, LLC
February 27, 2007 - December 3, 2007
1717 CAPITAL MANAGEMENT COMPANY
October 31, 2005 - February 23, 2007
CADARET, GRANT & CO., INC.
June 1, 2005 - November 9, 2005
EQUITABLE ADVISORS, LLC
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
February 4, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
October 20, 1998 - January 14, 2003
M&T SECURITIES, 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
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.
