Charles S. Pickard
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.
Charles Stewart Pickard JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2023 - July 2, 2025
CADARET, GRANT & CO., INC.
April 21, 2023 - July 2, 2025
CADARET, GRANT & CO., INC.
June 27, 2012 - April 21, 2023
NEXT FINANCIAL GROUP, INC.
May 9, 2003 - April 21, 2023
NEXT FINANCIAL GROUP, INC.
January 2, 2003 - May 12, 2003
WALNUT STREET SECURITIES, INC.
January 17, 1997 - November 6, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
October 9, 1995 - January 15, 1997
SEARS. THOMPSON INVESTMENT GROUP, INC.
July 12, 1985 - August 15, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
September 7, 1979 - November 11, 1986
ADVANTAGE CAPITAL CORPORATION
January 4, 1977 - June 30, 1981
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 4, 1977 - June 30, 1981
MONY SECURITIES CORPORATION
September 20, 1971 - August 21, 1975
GREEN HILL FINANCIAL SERVICE CORPORATION
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 ExaminationSeries 1
Date: 9/15/1971
Registered 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.
