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Investment Adviser Firm Summary

CADARET, GRANT & CO., INC. (CRD# 10641 / SEC# 8-27844, 801-42709)
Alternate Names: BNL SECURITIES INC. , CADARET GRANT & CO INC , CADARET, GRANT & CO., INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/23/1992

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/29/2016
Arizona 03/27/2006
California 07/08/1997
Colorado 02/20/2007
Connecticut 11/05/1999
Delaware 07/26/2000
District of Columbia 04/02/2009
Florida 02/15/1994
Georgia 03/07/1994
Hawaii 03/29/2012
Idaho 10/01/2003
Illinois 02/28/2002
Indiana 11/11/2005
Iowa 02/18/2010
Kansas 08/08/2006
Kentucky 03/25/2011
Louisiana 12/09/2009
Maine 04/02/2009
Maryland 03/09/1994
Massachusetts 03/27/2006
Michigan 03/27/2006
Minnesota 05/05/1998
Missouri 12/29/1994
Nebraska 09/27/2007
Nevada 06/10/1994
New Hampshire 04/08/1994
New Jersey 01/05/1998
New Mexico 04/02/2009
New York 08/27/1993
North Carolina 01/22/2001
Ohio 02/24/2000
Oklahoma 08/08/2006
Oregon 04/02/2009
Pennsylvania 07/18/2002
Puerto Rico 06/27/2014
Rhode Island 10/30/2008
South Carolina 03/23/1994
Tennessee 05/19/1998
Texas 03/31/1983
Utah 01/08/1995
Vermont 09/19/1995
Virginia 01/23/1997
Washington 12/13/2000
West Virginia 05/10/1996
Wisconsin 06/17/2004

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser