Individual Firm
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JENNIFER M VALLEY
JENNIFER MARIE STEIN, JENNIFER MARIE VALLEY
CRD#: 4372323
IA
B
CADARET GRANT & CO INCCRD#: 10641 13235 US Route 11
Adams Center, NY 13606
Adams Center, NY 13606
View By:
1/30/2023
Customer Dispute
Denied
State Registrations
B
Colorado 10/5/2022
B
New Jersey 7/17/2017
B
Connecticut 2/18/2020
B
New York 7/17/2017
B
Florida 10/4/2018
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New York 5/4/2021
B
Georgia 7/18/2022
B
North Carolina 7/17/2017
B
Indiana 10/5/2022
B
Pennsylvania 7/17/2017
B
Maine 7/18/2022
B
South Carolina 7/17/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/4/2021
B
Registered with this firm since 7/17/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/12/2006 - 07/18/2017 | Syracuse, NY | |
B | 06/07/2001 - 12/20/2005 | NEW YORK, NY |
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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.
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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.