Rocco J. Orlando
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.
Rocco Joseph Orlando, CFP® was a registered financial professional .
Rocco is a previously registered financial professional and started their career in finance in 1969. Rocco had worked at 11 firms and has passed the Series 63, Series 7TO, SIE 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 11, 2025
CADARET, GRANT & CO., INC.
May 17, 2013 - July 11, 2025
CADARET, GRANT & CO., INC.
August 1, 2003 - May 22, 2013
WALNUT STREET SECURITIES, INC.
January 7, 1982 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 28, 1978 - March 24, 1978
MORGAN STANLEY DW INC.
January 27, 1978 - January 15, 1982
INDIVIDUAL'S SECURITIES LTD.
April 27, 1977 - February 28, 1978
DEAN WITTER & CO. INCORPORATED
November 17, 1976 - June 2, 1977
SHEARSON HAYDEN STONE INC.
April 10, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 8, 1973 - April 12, 1975
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 22, 1972 - September 30, 1973
PAINE WEBBER JACKSON AND CURTIS INC
August 5, 1969 - September 18, 1972
SHEARSON, HAMMILL & CO., INCORPORATED
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 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.
