Charles L. Deremo
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.
Charles Lee Deremo, who also goes by Chuck Deremo, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 1995 - December 31, 2016
CADARET, GRANT & CO., INC.
November 19, 1989 - August 24, 1995
OSAIC WEALTH, INC.
March 30, 1989 - May 25, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 27, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 7, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 7, 1980 - October 4, 1988
IDS LIFE INSURANCE COMPANY
August 7, 1980 - October 4, 1988
AMERIPRISE FINANCIAL 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
Series 1
Date: 7/31/1980
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.
