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Detailed Report
DAVID FREDERICK BROWN
DAVID F BROWN
CRD#: 2469057
IA
Investment Adviser
B
Broker
CADARET GRANT & CO INCCRD#: 10641 294 BAY ROAD
QUEENSBURY, NY 12804
Registration History
19952000200520102015202020252 FIRMS1994 - 1995 (1 year)IACADARET GRANT & CO INC (CRD# 10641)2021 - Present (3 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2009 - Present (16 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2008 - 2009 (<1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)1999 - 2008 (9 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)1998 - 1998 (<1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)1995 - 1998 (2 years)
License(s)

State Registrations

B
Alaska 8/27/2020
B
New York 2/2/2009
B
California 1/2/2025
IA
New York 5/4/2021
B
Connecticut 4/18/2023
B
Texas 1/23/2015
B
Florida 4/6/2015
B
Utah 2/8/2022
B
Idaho 1/26/2010
B
Vermont 2/2/2009
B
Louisiana 7/9/2018

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CADARET GRANT & CO INC (CRD#:10641)
294 BAY ROAD, QUEENSBURY, NY 12804
Registered with this firm since 5/4/2021
B
CADARET, GRANT & CO., INC. (CRD#:10641)
294 BAY ROAD, QUEENSBURY, NY 12804
Registered with this firm since 2/2/2009
Previous Registration(s)
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B
 10/31/2008 - 02/05/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) QUEENSBURY, NY
B
 01/04/1999 - 10/31/2008 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) QUEENSBURY, NY
B
 01/23/1998 - 12/31/1998 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
B
 07/28/1995 - 01/23/1998 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
B
 05/13/1994 - 05/09/1995 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 05/13/1994 - 05/09/1995 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.