TC
Thaddeus S. Cook
SEARLE & CO.
Greenwich, CT 06830
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CRD#: 856315
TC
Professional summary
Thaddeus Sajous Cook is a registered financial advisor currently at SEARLE & CO. located in Greenwich, Connecticut.
Thaddeus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Thaddeus has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SEARLE & CO., INVESTMENT RELATED, 333 GREENWICH AVE, GREENWICH CT 06830, STOCK BROKERAGE, RR, 12/31/1991, 2, 2, ADVISORY - SHEARMAN RALSTON., INVESTMENT RELATED, 333 GREENWICH AVE, GREENWICH CT 06830, ADMINISTRATIVE, 01/01/2014, 5, 5, COMPLIANCE. THE SHEARMAN FOUNDATION, INVESTMENT RELATED, LAKE CHARLES, LA, FOUNDATION, TRUSTEE, TRUSTEE, 12/1/21, 1 HOURS, 1 HOURS, PREPARING SOURCE DOCUMENTS FOR TAXES, BILL PAYING FOR BENEFICIARY OF TRUSTEES, TRUST OVERSIGHT.
CRS (Client Relationship Summary) - RIA
Click below to view Thaddeus Sajous Cook's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thaddeus Sajous Cook's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 6, 2002 - Present
SEARLE & CO.
Office #1: 333 Greenwich Ave, Greenwich, CT 06830RIA
BD
CRD#: 13035
Greenwich, CT
Current
January 31, 1992 - Present
SEARLE & CO.
Office #1: 333 Greenwich Ave, Greenwich, CT 06830RIA
BD
CRD#: 13035
Greenwich, CT
Past
November 8, 2004 - September 14, 2007
SCS ASSET MANAGEMENT, INC
RIA
CRD#: 132450
TAMPA, FL
Past
October 23, 2002 - July 11, 2025
SECURITIES RESEARCH, INC. OF FLORIDA
RIA
CRD#: 6516
GARRISON, NY
Past
April 22, 1985 - August 19, 2025
SECURITIES RESEARCH, INC. OF FLORIDA
BD
CRD#: 6516
DANBURY, CT
Past
April 6, 1983 - April 10, 1985
SEARLE & CO.
BD
CRD#: 13035
Past
August 25, 1978 - April 7, 1983
SHEARMAN, RALSTON INC.
BD
CRD#: 7320
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
S&
SEARLE & CO.
SEARLE & CO.
CRD#: 13035 / SEC#: 801-68574, 8-28600
RIA
Registered Investment Advisory firm - SEC (11/30/2007 Approved)Connecticut
Registered Investment Advisory firm - SEC (12/5/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/17/2011)
RR
Colorado(8/17/2011)
RR
Connecticut(1/31/1992)
IAR
Connecticut(11/6/2002)
RR
Florida(8/17/2011)
RR
Montana(8/17/2011)
RR
New Mexico(8/12/2011)
RR
New York(8/17/2011)
IAR
New York(4/9/2021)
RR
Texas(8/17/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
S&
SEARLE & CO.
SEARLE & CO.
CRD#: 13035 / SEC#: 801-68574, 8-28600
RIA
Registered Investment Advisory firm - SEC (11/30/2007 Approved)Connecticut
Registered Investment Advisory firm - SEC (12/5/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
333 Greenwich Ave., Greenwich, CT 06830
Mailing Address
333 Greenwich Ave., Greenwich, CT 06830
Phone number
(203) 869-4800
Established
Connecticut since 11/22/1982
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
11
SEC notice filing (9 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 648,957,944 |
Disclosures
| Regulatory Event | 4 |
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.
