Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Ernest Adam is a financial advisor with Cadaret, Grant & Co., Inc. Mark has been working in the financial industry since 1992, and has been registered with Cadaret, Grant & Co., Inc. since 2007. Mark is registered with the Securities and Exchange Commission (SEC) as an Investment Adviser Representative (IAR). Mark is also registered with the following states: Colorado, Connecticut, Florida, Georgia, Kentucky, Maryland, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Utah, Virginia, and Washington. Mark offers a variety of financial services, including financial planning, portfolio management, and insurance sales.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
05/04/2021 - Present
Cadaret, Grant & CO., Inc. (Rochester NY)
NY
04/05/2006 - 04/26/2007
HSBC SECURITIES (USA) INC. (HILTON NY)
MA
01/07/2005 - 03/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
08/24/1995 - 01/19/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MN
02/24/1992 - 08/24/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/24/1992 - 08/24/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 05/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/22/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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