Adrianne M. Ohagan
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.
Adrianne M Ohagan, who also goes by Adrianne Fay, Adrianne M Louf, Adrianne Louf, Adrianne Marie Fay Loufrice, Adrianne Marie Rice, was a registered financial professional .
Adrianne is a previously registered financial professional and started their career in finance in 1977. Adrianne had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2021 - August 10, 2022
CADARET, GRANT & CO., INC.
December 23, 2008 - August 10, 2022
CADARET, GRANT & CO., INC.
January 1, 2008 - December 26, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 9, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 14, 1980 - October 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 1977 - July 26, 1978
MOSELEY, HALLGARTEN & ESTABROOK INC
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
Current 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.
