Art began his financial industry career at the New York Stock Exchange in 1966, then served as a compliance director with Merrill Lynch, Pierce, Fenner & Smith and as a vice president of Sanford C. Bernstein & Co. (now AllianceBernstein).

In 1981, Art founded Nathan, Lewis & Grant, Inc., a broker/dealer based in New York City. Shortly thereafter, he helped launch registered investment advisor Capital Strategy Group, Ltd., a Syracuse-based investment advisory firm where he remains a managing director and member of the firm’s investment committee.

Art relocated to Syracuse, New York, in 1985 to form Cadaret, Grant & Co., Inc. Today, backed by an accomplished management team, he leads a firm of more than 120 employees serving nearly 900 advisors nationwide. He is a past member of the Securities Industry and Financial Markets Association (SIFMA) board of directors, a past director of the Financial Planning Association, and former chairman of the National Endowment for Financial Education. He has been a guest speaker at fall and spring FINRA Small Firms Conferences. He has served as the president of the Board of Trustees of the Everson Museum of Art in Syracuse, New York.

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With more than 36 years of experience in the securities industry, BJ is responsible for compliance at Cadaret, Grant & Co., Inc.

Coordinating Compliance Department activities from our Mount Arlington, New Jersey, office, BJ personally works with representatives who have unique inquiries. She also maintains the firm’s standards for compliance with the Financial Industry Regulatory Authority (FINRA), and has worked extensively with the organization in the development of regulatory procedures for bank securities programs.

BJ is a featured guest speaker at industry meetings on investment advisory activities, supervision, and other securities-related issues, and she is frequently called on by federal and state law enforcement agencies to evaluate cases and instruct investigators on securities fraud.

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With Cadaret, Grant since 1991, Don has more than 31 years of accounting and finance experience.

As CFO, he ensures that the firm is financially sound, overseeing preparation of the company’s corporate financial statements, budget analyses, and internal expense control mechanisms, and supervising the Administration, Human Resources, Cashiering, Financial Reporting, Information Technology, Operations, Advisory Services, and Trading Departments.

Don holds FINRA Series 6, 27 and 63 licenses, and is a member of the American Institute of CPAs, the New York State Society of CPAs, the Beta Gamma Sigma National Honor Society, and the Financial Planning Association.

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Mike joined Cadaret, Grant's Cashiering Department in 1989. Now trading manager and vice president, he oversees the Trading Department’s employees, workflow, and service to representatives. When the department is overflowing with calls late in the day, Mike is known to jump in the call queue and place trades himself.

Mike has a bachelor’s degree in accounting with a minor in federal taxation from LeMoyne College. Born and raised in Syracuse, he admires Cadaret, Grant’s contribution to the Central New York community.

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Karen’s human resources experience makes her a valuable addition offering guidance and support for Cadaret, Grant employees and managers. From managing the hiring process, to developing employee programs and policies, Karen is responsible for ensuring the firm's human resource strategies comply with local, state, and federal employment regulations. Her outgoing personality has helped to foster our familial nature and supportive culture, and has also led to plenty of community involvement. This includes membership in the Society for Human Resource Management and serving as Cadaret, Grant’s diversity representative for the Securities Industry and Financial Markets Association (SIFMA).

Steve has been in the financial service industry for 36 years. For more than 28 years, Steve was an external wholesaler for several major R.E.I.T sponsors, including Wells. Steve came to Cadaret, Grant in October 2012 to be the Director of Recruiting.

Steve’s main responsibility is to recruit experienced, high quality financial advisors to the firm. Other responsibilities include helping advisors grow their practice, develop a succession plan, and assist advisors preparing to sell their practice.

Accuracy and efficiency are critical in the Financial Reporting Department, which is responsible for both internal and external reporting, monitoring internal financial controls, and improving operating standards. Sherry DePerro has managed the department for more than 16 years, dramatically transforming its organizational structure in the process.

Sherry’s attention to detail, professional attitude, and superior leadership skills make her one of Cadaret, Grant’s greatest assets. Her previous banking and financial services background, including a position at John Hancock Financial Services, has given her more than accounting experience; it has contributed to an expertise in corporate culture that she fosters in employees.

Sherry has served as the chair of the Strategic Management Planning and Finance committees at St. Mary’s Academy, as an appointed member of her church’s Finance committee, and as a board member of her local youth soccer association. Sherry continues to be engaged in various organizations within our community.

In 1978, Donna began working in the registrations department of Independent Financial Planners Corporation, owned by Bankers National Life. In 1988, Cadaret, Grant purchased the securities arm of BNL, and the two companies merged. Donna now manages Cadaret, Grant’s registrations from the company’s Mount Arlington, New Jersey, office.

Donna is responsible for registrations and renewal of broker/dealer and representative registrations through FINRA and various state regulators. She assists new representatives in joining the firm and registers branch offices. Donna also coordinates the enrollment and renewal of error and omissions insurance and notifies representatives of their FINRA regulatory continuing education requirements. Donna holds a Series 6 license.

With more than 31 years of industry experience, Pam is one of Cadaret, Grant’s most familiar faces. She researches, plans, and implements the company’s annual continuing education requirements for FINRA, often spending as many as 18 weeks per year conducting regional representative meetings across the country.

Pam also coordinates annual registered principal and office assistant continuing education programs that meet FINRA standards. Internally, she conducts classes to educate employees about the financial services industry.

Once an independent representative, Pam understands first-hand the challenges advisors face. She holds two degrees from Syracuse University and the Chartered Financial Consultant and Chartered Life Underwriter designations from American College.

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Megan interned in various departments before joining Cadaret, Grant over 14 years ago. After spending a year gaining experience at a major mutual fund company in Boston, she returned to Cadaret, Grant as a communications assistant, eventually becoming director of communications.

Megan works closely with the Recruiting Department to understand and implement its initiatives, oversees internal communications standards, reviews internal and external correspondence and literature for representatives, and manages the company’s advertising and public relations campaigns. Megan holds a bachelor's degree from Boston College and a master's degree from Syracuse University's S.I. Newhouse School of Public Communications. She serves on the Board of Trustees of Vera House Foundation, a local women’s shelter.

A vast career in all aspects of customer service has provided an ideal framework for Donna’s position as manager of Cadaret, Grant Operations. She has been with Cadaret, Grant 16 years.

At Cadaret, Grant, Donna’s responsibilities vary from monitoring employee performance to working with individual representatives facing specific business challenges. She also monitors and anticipates industry and regulatory changes and helps Cadaret, Grant develop procedures to accommodate them, establishing operations management teams and ensuring that the company has appropriate internal controls to meet business initiatives. Donna also manages Cadaret, Grant Agency Operations.

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Jennifer's career in customer service includes 20 years in the insurance arena. As assistant manager of Operations, she oversees the employees in Agency, Commissions, and New Business Processing, ensuring that they provide outstanding service to representatives. She is responsible for resolving complicated operational issues, special projects, and documenting department procedures. Jennifer researches processes within the department and makes recommendations to streamline and gain efficiency. She monitors quality control to ensure trades are placed in an accurate and timely fashion. Jennifer upholds the performance standards of the department by training staff and evaluating performance.

Rick worked for JP Morgan Chase for 16 years before joining Cadaret, Grant in 2005 as assistant manager of operations systems.

In his role overseeing data processing, the Cadaret, Grant Help Desk, and other areas within the Operations Department, Rick enjoys learning and improving processes. His knowledge and career experience offer insights into new ways to streamline procedures and enhance efficiencies.

Don joined the financial services industry in 1991 as a sales representative at First Investors; he became an equity trader in 1992 and joined Cadaret, Grant as an equity trader in 1995. He then served as a compliance examiner before becoming manager of Cadaret, Grant’s Compliance Department, located in Syracuse, New York, and Mount Arlington, New Jersey.

In addition to overseeing the external activities of Cadaret, Grant’s compliance examiners and internal reporting performed by other employees, Don reviews representatives’ sales literature and advertising efforts. He holds a Certified Regulatory Compliance Professional designation from the FINRA/Wharton certification program. Don also holds FINRA Series 4, 7, 24, and 65 licenses.

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Over the past 29 years, Kevin has enjoyed observing the ever-evolving financial services industry, which has changed significantly since he became Cadaret, Grant’s (only) cashier in 1987.

Today, the Cashiering Department is staffed by seven people and transacting business continues to change. In addition to supervising the Cashiering Department, he also coordinates processing changes with Pershing. Currently, all money and security movement transactions within Pershing accounts are processed through Cashiering, which has dramatically reduced processing times.

Chris’s eight years of industry experience include sales and operations roles at two large financial companies in New Jersey. As variable annuity sales manager for Cadaret, Grant, Chris is located in the Mount Arlington, New Jersey, office.

Some of Chris’s roles include offering support to advisors with case design, maintaining selling agreements, and updating relevant information on the variable annuity section of the Cadaret, Grant Web site. Chris also enjoys meeting with advisors in small and large settings in the form of product and continuing education meetings. He earned a bachelor’s degree in business marketing from Marist College.

As Assistant Vice President and Compliance Supervisor, Shannon is responsible for overseeing field examinations of Cadaret, Grant branch offices and assisting registered representatives and branch managers in complying with the regulatory issues that govern our industry. Shannon also supervises regulatory changes, internal compliance procedures, advertising and transactional blotter reviews. With 18 years of industry experience, Shannon brings a unique perspective to the firm in that he has worked for both insurance company broker/dealers and an independent broker/dealer.

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Oksana is responsible for managing functions that are handled in the Advisory Services Department, including: advisory trading, account activity and general compliance oversight. This includes on-boarding of new accounts and advisors, account management, management fee billing, performance reports, advisor training, data management and client portal access in the Black Diamond system. Oksana received a bachelor’s degree in International Relations with minors in Finance and Economics from Syracuse University. She has prior experience working for a boutique financial planning firm as well as major investment management company, Goldman Sachs.

Jim leads Capital Strategy Group, Ltd., an investment management firm and Cadaret, Grant’s sister company.

In his role as President, he oversees the company’s management and serves as a portfolio manager for client assets.

Prior to joining Capital Strategy Group, Jim worked at EF Hutton as a representative. He holds a bachelor’s degree in economics and MBA from Pennsylvania State University and is a member of the Central New York United Way Investment Committee.

Jim has had a long career in the insurance industry, starting at AXA Equitable in 1979. He enjoys working “in the field,” traveling to representatives’ offices and analyzing the extent of their insurance business, then planning ways to help make it grow. His energy and personality have made him a close friend of many advisors.

Jim is a past-president of the Syracuse Association of Insurance and Financial Advisors and a former board member and officer of the Central New York Chapter of Financial Services Professionals. He has also served as a board member and officer of various community groups, including the regional chapter of the Lymphoma and Leukemia Society and Syracuse’s Southwest Community Center. Jim holds the CLU and ChFC designations.

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As Information Technology Department Manager, Andy is responsible for overseeing the management of internal technology supporting back office processes. Responsibilities cover a wide range of systems including servers, workstations, printers, networking equipment. Maintaining over fifty servers and two hundred workstations along with security initiatives keeps the department extremely busy.

Andy has a bachelor’s degree in Information Technology from Rochester Institute of Technology and has been a part of the Cadaret, Grant family for fourteen years. He is a graduate of the Dale Carnegie Skills for Success course.

As internal auditor, Trisha manages the financial and operational audits performed internally, which includes continual assessment and enhancement of internal control structures. She also works as the liaison between external financial auditors and the firm and performs various financial analyses as requested by senior management.

Trisha has a bachelor's degree in accounting and finance from Dominican University, and she boasts more than 18 years as part of the Cadaret, Grant family.

Mark’s career in the financial services industry began in 1999, helping advisors and clients reach their financial goals. In 2007, after eight years in New York’s tri-state region, Mark relocated to Syracuse and joined Cadaret, Grant. Mark works closely with advisors on various strategies to implement and grow their fee-based advisory business. In addition, Mark’s knowledge of fiduciary duties, and ERISA and non-ERISA based retirement plans provides key guidance to advisors working with retirement plans. Mark received his bachelor’s degree in business from LeMoyne College. Mark holds FINRA Series 7, 24, and 66 licenses.

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