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Detailed Report
LOUIS DAVID ESPOSITO
LEE DAVID ESPOSITO
CRD#: 4970538
IA
Investment Adviser
B
Broker
CADARET GRANT & CO INCCRD#: 10641 Brick, NJ
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2010 - 2023 (13 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Colorado 5/16/2023
IA
New Jersey 5/18/2023
B
Delaware 5/16/2023
B
New York 5/16/2023
B
Florida 6/26/2023
B
North Carolina 5/16/2023
B
Georgia 5/16/2023
B
Pennsylvania 5/16/2023
B
New Jersey 5/16/2023
B
Virginia 5/16/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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)
Brick, NJ
Registered with this firm since 5/18/2023
B
CADARET, GRANT & CO., INC. (CRD#:10641)
Brick, NJ
Registered with this firm since 5/16/2023
Previous Registration(s)
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IA
 04/08/2010 - 05/19/2023 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) BRICK, NJ
B
 04/08/2010 - 05/19/2023 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) BRICK, NJ
IA
 06/16/2008 - 11/11/2009 HSBC SECURITIES (USA) INC. (CRD#:19585) MORRISTOWN, NJ
B
 06/16/2008 - 11/11/2009 HSBC SECURITIES (USA) INC. (CRD#:19585) MORRISTOWN, NJ
IA
 09/12/2005 - 06/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW BRUNSWICK, NJ
B
 07/22/2005 - 06/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW BRUNSWICK, NJ
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.