Stuart I. Smolins
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.
Stuart Irwin Smolins was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1967. Stuart had worked at 10 firms and has passed the Series 63, Series 1 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
January 13, 2003 - December 31, 2008
CADARET, GRANT & CO., INC.
January 13, 2003 - June 4, 2012
CADARET, GRANT & CO., INC.
July 16, 2002 - January 23, 2003
NATHAN & LEWIS SECURITIES, INC.
September 5, 2001 - January 23, 2003
NATHAN & LEWIS SECURITIES, INC.
September 16, 1997 - September 7, 2001
CETERA ADVISORS LLC
January 10, 1990 - September 22, 1997
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
June 18, 1989 - January 13, 1990
SUNAMERICA SECURITIES, INC.
June 29, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
June 17, 1986 - July 9, 1987
PW SECURITIES, INC.
February 19, 1981 - June 19, 1986
CARDELL & ASSOCIATES, INCORPORATED
April 29, 1971 - March 25, 1981
RELIASTAR FINANCIAL MARKETING CORP.
April 10, 1970 - June 10, 1971
PW SECURITIES, INC.
April 28, 1967 - July 2, 1971
ATLANTIC 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
Series 1
Date: 4/26/1967
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.
