Joshua A. Garber
Professional summary
Joshua Adam Garber was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joshua is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, Joshua had worked at 2 firms, which includes CADARET GRANT & CO. INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2008 - August 16, 2011
CADARET, GRANT & CO., INC.
May 23, 2008 - August 16, 2011
CADARET, GRANT & CO., INC.
January 27, 2006 - June 19, 2008
PRUCO SECURITIES, LLC.
February 7, 2005 - June 19, 2008
PRUCO SECURITIES, LLC.
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
Current 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.
