William L. Solomon
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.
William Louis Solomon was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1964. William had worked at 11 firms and has passed the Series 63, 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
January 5, 1998 - September 24, 2003
CADARET, GRANT & CO., INC.
March 31, 1997 - December 31, 2017
CADARET, GRANT & CO., INC.
January 26, 1987 - April 8, 1997
OSAIC FS, INC.
June 12, 1986 - February 18, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
February 20, 1986 - June 25, 1986
CARDELL & ASSOCIATES, INCORPORATED
August 29, 1983 - February 24, 1986
NATHAN & LEWIS SECURITIES, INC.
June 19, 1983 - November 4, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 16, 1982 - April 25, 1984
ADVANTAGE CAPITAL CORPORATION
March 28, 1974 - July 20, 1983
KURZ-LIEBOW & COMPANY, INC.
November 9, 1972 - May 5, 1974
AMFCO SECURITIES, INC.
February 10, 1969 - December 24, 1972
ROBERT EDWARD LEE INCORPORATED
April 13, 1964 - May 26, 1974
PREFERRED MUTUAL FUNDS, 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: 8/10/1962
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.
