Mark Canter
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.
Mark Canter was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1977. Mark had worked at 9 firms and has passed the SIE, Series 52, Series 62 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2007 - December 31, 2018
CADARET, GRANT & CO., INC.
September 28, 2004 - October 26, 2007
SECURITIES AMERICA, INC.
December 12, 1995 - October 14, 2004
PRIME CAPITAL SERVICES, INC.
December 5, 1990 - November 27, 1995
SECURITIES AMERICA, INC.
January 20, 1990 - December 4, 1990
FORESTERS FINANCIAL SERVICES, INC.
October 24, 1986 - January 16, 1990
GLOBAL CAPITAL SECURITIES, INC.
August 8, 1985 - March 24, 1988
CORNWALL SECURITIES, INC.
June 19, 1984 - August 7, 1985
NATHAN & LEWIS SECURITIES, INC.
May 24, 1977 - February 19, 1985
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 24, 1977 - February 19, 1985
MONY SECURITIES CORPORATION
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 62
Date: 1/7/1993
Corporate Securities Limited Representative ExaminationSeries 1
Date: 5/19/1977
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.
