Cadaret Grant & Co., Inc. is looking for a Home Office Registered Principal to join our successful organization. We take pride in our team of professionals, who help to expand the company’s reputation as one of the leading independent broker/dealers in the country.
This position will be responsible for compliance oversight and supervisory responsibilities for branch offices and their representatives. This includes ensuring industry compliance standards are being met by the firm, providing training and assistance relative to Cadaret, Grant‘s compliance policies and procedures, and reviewing securities transactions for suitability and compliance
Position duties include but are not limited to:
Cadaret Grant, a FINRA member and independent broker-dealer headquartered in Syracuse, New York, is a wholly-owned subsidiary of Atria Wealth Solutions. Founded in 1985, Cadaret Grant serves nearly 750 financial advisors in over 450 branch offices with next-generation technology and support for their independent businesses. Cadaret Grant & Co. seeks employee candidates who are ambitious, dedicated, and spirited. Our collaborative culture offers community through shared goals and strong work ethics. To learn more about Cadaret Grant, please visit www.cadaretgrant.com.
Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on delivering a clear path to the future of financial advice for advisors and their clients. Headquartered in New York City, Atria's subsidiaries empower financial institutions and independent advisors with a sophisticated set of tools, services, and capabilities that drive growth. Atria's subsidiaries include Cadaret Grant & Co., Inc., NEXT Financial Group, Inc., CUSO Financial Services, L.P., and Sorrento Pacific Financial, LLC, which together support nearly 2,000 financial advisors with more than $65 billion assets under administration. For more information, please visit www.atriawealth.com
This position is currently accepting applications.