Humphrey J. Sgroi
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.
Humphrey Joseph Sgroi, who also goes by H Joseph Clu Sgroi, was a registered financial professional .
Humphrey is a previously registered financial professional and started their career in finance in 1973. Humphrey had worked at 6 firms and has passed the Series 63, SIE, Series 1 and Series 26 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 - November 18, 2014
CADARET, GRANT & CO., INC.
February 17, 1986 - October 2, 1989
CADARET, GRANT & CO., INC.
January 11, 1984 - January 27, 1986
ALEXANDER KALE SECURITIES, INC.
September 11, 1981 - August 13, 1982
CUSHING CAPITAL CORPORATION
June 21, 1974 - September 29, 1989
PRINCIPAL SECURITIES, INC.
July 25, 1973 - June 6, 1974
PIEDMONT CAPITAL 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 1
Date: 7/17/1973
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.
