Donald J. Germano
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.
Donald James Germano was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1979. Donald had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
March 10, 2011 - September 19, 2018
CADARET, GRANT & CO., INC.
March 1, 2011 - September 19, 2018
CADARET, GRANT & CO., INC.
June 1, 2005 - March 17, 2011
EQUITABLE ADVISORS, LLC
June 1, 2005 - March 17, 2011
EQUITABLE ADVISORS, LLC
January 26, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
June 19, 1983 - March 13, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 23, 1979 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 23, 1979 - June 1, 2005
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 1
Date: 7/10/1979
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.
