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MP

Manuel Pereira

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CRD#: 6654075
MP

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.

Manuel Pereira was a registered financial professional .

Manuel is a previously registered financial professional and started their career in finance in 2016. Manuel had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) Grenier Financial Advisors, 265 Main Street, Wethersfield, CT, Registered Support Staff since 4/14/2022, not investment related. 2) Insurance Lines: Fixed Annuties and Life/Health, 0 hours, investment related.

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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

April 25, 2022 - December 15, 2023

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
WETHERSFIELD, CT
Past

April 18, 2022 - December 15, 2023

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
WETHERSFIELD, CT
Past

June 20, 2019 - August 16, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EAST HARTFORD, CT
Past

June 19, 2019 - August 16, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
E HARTFORD, CT
Past

February 2, 2018 - June 21, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
East Hartford, CT
Past

July 11, 2016 - June 21, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
E. HARTFORD, CT

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
IAR
Series 65
Date: 1/16/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/11/2016
Investment Company Products/Variable Contracts 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 (3 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

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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