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BARBARA SHAPIRO
BARBARA KIRSHENBAUM
CRD#: 2163223
IA
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CADARET GRANT & CO INCCRD#: 10641 3 Allied Drive
Suite 303
DEDHAM, MA 02026
Suite 303
DEDHAM, MA 02026
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9/16/2014
Customer Dispute
Closed-No Action
State Registrations
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Arizona 10/8/2008
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Missouri 8/2/2024
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California 11/23/2004
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Nevada 6/14/2005
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Colorado 6/29/2021
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New Hampshire 6/26/2000
B
Connecticut 1/29/2004
B
New Jersey 2/23/2005
B
District of Columbia 1/5/2017
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New York 1/29/2004
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Florida 9/6/1991
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North Carolina 6/23/2021
B
Georgia 4/26/2004
B
Oregon 2/25/2015
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Hawaii 10/24/2011
B
Pennsylvania 5/14/2021
B
Illinois 1/5/2017
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Rhode Island 1/7/1998
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Louisiana 7/6/2020
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South Carolina 1/5/2017
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Maine 1/29/2004
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Utah 1/22/2007
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Maryland 1/25/2007
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Vermont 10/7/2013
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Massachusetts 9/17/1991
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Virginia 4/19/2018
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Massachusetts 6/18/2018
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Washington 8/21/2006
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Minnesota 11/23/2020
SRO Registrations
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Registered with this firm since 6/18/2018
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Registered with this firm since 9/5/1991
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/05/2005 - 12/13/2017 | DEDHAM, MA | |
IA | 05/01/2006 - 12/31/2008 | SYRACUSE, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.