DOL Disclosures

The Department of Labor, along with other regulatory agencies, require broker/dealers to have procedures in place to monitor whether financial professionals are making material misleading statements to investors. Cadaret Grant & Co., Inc. uses several methods to monitor statements of this nature, because they are not permitted. The methods include reviewing financial professionals’ e-mail communications, written communications, marketing materials, and on site examinations.

Doug Ketterer

Chief Executive Officer and Founding Partner

The vision and influence to advance an industry. Doug is passionate about the value of personal advice. He believes that customized solutions created by one advisor, working with one client, aren’t just the core of wealth management—but the key to its future. A well-known Wall Street thought leader with over 30 years in the industry, Doug is a sought-after source of ideas that elevate the advisor-client experience. With insight gained as a long-time Morgan Stanley executive, and a clear-eyed commitment to the principles he preaches, Doug is in the right place to lead Atria, its subsidiaries—and the advisors they serve—to a better future.