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MK

Mary T. Klippel

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CRD#: 6645761
MK

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.

Mary Theresa Klippel, who also goes by Mary Curran, Mary T Klippel, Mary Klippel, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2017. Mary had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Curran | Mary T Klippel | Mary Klippel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) VanMeter & VanMeter LLC, DBA, Little Falls, NY, Registered Support Staff/Employee, Investment related, August 2021 to Present, 160 hrs per month, 120 during trading, provide assistance as needed to representatives and their clients. 2) Van Meter Tax Services, Enrolled Agent, 536 East Main Street, Little Falls, NY, employee starting 1/15/22, (normally 1/15 to 4/15) prepare taxes and follow up on tax issues, 20 hours per month, 20 during market, not investment related.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 24, 2021 - May 25, 2022

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
LITTLE FALLS, NY
Past

August 24, 2021 - May 25, 2022

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
LITTLE FALLS, NY
Past

December 5, 2018 - August 24, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Little Falls, NY
Past

September 20, 2017 - August 24, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ROCHESTER, NY
Past

July 18, 2017 - August 2, 2017

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SYRACUSE, NY
Past

May 4, 2017 - June 5, 2017

MORGAN STANLEY

BD
CRD#: 149777
ITHACA, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/2017
General Securities Representative Examination

Current Firm

CG
CADARET, GRANT & CO., INC.
ADAMS LAVENTURA & ASSOCIATES | THE RETIREMENT OPTIMIZATION GROUP | SYRACUSE WEALTH MANAGEMENT | SPARTAN WEALTH MANAGEMENT | SC PARKER LLC | SC FINANCIAL GROUP LLC | ROBERT F. FAHEY JR. & ASSOCIATES | PROFESSIONAL FINANCIAL CONSULTANTS LLC | POMBO WEALTH MANAGEMENT | PETERSEN ADVISORS | MARATHON FINANCIAL ADVISORS, INC. | MARASCO WEALTH | LAWSON WINCHESTER WEALTH MANAGEMENT | INSIGHT FINANCIAL | EMS WEALTH MANAGEMENT | CYPRESS PRIVATE WEALTH | CAPITAL MANAGEMENT STRATEGIES LLC | CAPITAL MANAGEMENT GROUP OF NIAGARA | CADARET, GRANT & CO., INC. | CADARET GRANT & CO INC | BRIARWOOD WEALTH MANAGEMENT, LLC | BNL SECURITIES INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
100 Madison Street Suite 1300, Syracuse, NY 13202
Mailing Address
Phone number
(800) 288-8601
Established
Delaware since 04/16/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
692

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)
CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AWS 4, INC.SHAREHOLDER
MORRISSEY, WILLIAM PAULPRESIDENT1575389
SCHUMANN, ALEXIS VADVISORY CHIEF COMPLIANCE OFFICER3157769
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHA LYNNPRINCIPAL FINANCIAL OFFICER3197368

Regulatory assets under management

Total Number of Accounts25,442
AUM (Assets Under Management)$ 7,671,069,034

Disclosures

Regulatory Event17
Arbitration4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/14/2024
Cover Page
Report
01/10/2024
Cover Page
Report
12/14/2022
Cover Page
Report

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.

Company Information

CADARET, GRANT & CO., INC.

CRD#: 10641

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