Michael Han

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CRD#: 7506602

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.

Michael Han was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2022. Michael had worked at 8 firms and has passed the Series 66, Series 7TO, Series 57TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

April 1, 2025 - August 1, 2025

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Kearny, NJ

Past

October 2, 2024 - August 1, 2025

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 6, 2023 - August 1, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

June 6, 2023 - August 1, 2025

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SAN DIEGO, CA

Past

June 6, 2023 - August 1, 2025

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

June 6, 2023 - August 1, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

June 6, 2023 - August 1, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

June 6, 2023 - August 1, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

March 31, 2022 - April 5, 2023

CHIMERA SECURITIES, LLC

CRD#: 147566

NEW YORK, 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

IAR

Series 66

Date: 3/29/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/16/2023

General Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 3/31/2022

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 2/10/2022

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/2025

General Securities Principal Examination

Current Firm

CADARET, GRANT & CO., INC.

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

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)

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

Name	Position	CRD#
AWS 4, INC.	SHAREHOLDER
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

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	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.

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Advisor Monitoring

Firm Stability Insights

Michael Han

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

SORRENTO PACIFIC FINANCIAL, LLC

SCF SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

CHIMERA SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2025

Series 7TO

Date: 8/16/2023

Series 57TO

Date: 3/31/2022

SIE

Date: 2/10/2022

Series 24

Date: 7/8/2025

Current Firm

CADARET, GRANT & CO., INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CADARET, GRANT & CO., INC.

TRUST BUT VERIFY

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