Stacey A. Mercandetti
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.
Stacey Ann Mercandetti, CFP®, who also goes by Stacey Ann Champlin, Stacey Ann Mercandetti Ms., Stacey Ann Mercandetti, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 2007. Stacey had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - March 2, 2016
CADARET, GRANT & CO., INC.
July 29, 2009 - March 15, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
January 8, 2009 - April 16, 2009
M. GRIFFITH INVESTMENT SERVICES, INC.
August 16, 2007 - December 23, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 1, 2007 - July 2, 2007
MML INVESTORS SERVICES, 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 (3 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 |
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.
