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MG

Mariah M. Galletta

Some features on this profile are disabled
CRD#: 7660874
MG

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.

Mariah Mary Galletta, who also goes by Mariah Mary Galletta, was a registered financial professional .

Mariah is a previously registered financial professional and started their career in finance in 2022. Mariah had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mariah Mary Galletta

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

November 19, 2024 - February 7, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
SYRACUSE, NY
Past

August 22, 2024 - February 7, 2025

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

March 14, 2023 - February 7, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

March 14, 2023 - February 7, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

March 14, 2023 - February 7, 2025

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

March 14, 2023 - February 7, 2025

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

March 14, 2023 - February 7, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

March 14, 2023 - February 7, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

November 22, 2022 - March 15, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SYRACUSE, 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 65
Date: 11/18/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/5/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2022
Securities Industry Essentials 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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