Management Team

To best serve your clients, you need strong, dependable service from your broker/dealer. With nearly a century of combined experience, Cadaret, Grant’s management team offers the strength, knowledge, and sensitivity of industry veterans.

Douglas J. Ketterer

President and Chief Executive Officer

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Douglas J. Ketterer

President and Chief Executive Officer

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Douglas J. Ketterer

President and Chief Executive Officer

Doug Ketterer is President and CEO of Cadaret, Grant and a founding partner of Atria Wealth Solutions. With more than 25 years of experience in wealth management, Doug brings insight, passion and proven experience to lead the company.

Doug’s financial industry experiences have fostered a deep appreciation and belief in the value of personal, customized advice. Prior to founding Atria, Doug was Head of Field Management at Morgan Stanley, where led the entire U.S. financial advisor and branch office network and ran the U.S. Private Wealth Management business. Prior to that he held multiple leadership positions within Morgan Stanley’s wealth management division, including overseeing the entire product and services organization as well as creating the strategy and client segmentation organization. Beyond his wealth management experience, Doug was a key executive in Morgan Stanley’s asset management division and spent many years in investment banking.

He is a sought‐after thought leader and has been quoted in publications including the Wall Street Journal, Financial Times and Reuters. He holds an MBA from New York University’s Stern School of Business and an undergraduate degree from the University at Albany.

“We are focused on catering to the specific needs of independent advisors, providing the most competitive set of tools and solutions that meet their ongoing demands in today’s rapidly changing wealth management environment.”

Michael Arnold

Vice President, Trading

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Michael Arnold

Vice President, Trading

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Michael Arnold

Vice President, Trading

Mike joined Cadaret, Grant's Cashiering Department in 1989. Now Vice President, Trading, 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 Le Moyne College. Born and raised in Syracuse, he admires Cadaret, Grant’s contribution to the Central New York community.

Check the background of Michael Arnold on FINRA’s BrokerCheck

“I love the fast pace of the Cadaret, Grant Trading Department. From the moment the market opens, we are all in constant ‘go’ mode.”

Karen Benenati

Executive Director, Human Resources

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Karen Benenati

Executive Director, Human Resources

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Karen Benenati

Executive Director, Human Resources

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 national membership in the Society for Human Resource Management (SHRM) and membership in the Human Resources Certification Institute (HRCI). She formerly served as Cadaret, Grant’s diversity representative for the Securities Industry and Financial Markets Association (SIFMA).

“Attracting talented employee candidates to Cadaret, Grant is easy – we offer incredible benefits and a challenging atmosphere where hard work and creative thinking are rewarded.”

Gary Cappon

Vice President, Head of Sales for Fixed Annuity and Insurance Solutions

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Gary Cappon

Vice President, Head of Sales for Fixed Annuity and Insurance Solutions

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Gary Cappon

Vice President, Head of Sales for Fixed Annuity and Insurance Solutions

Gary is responsible for developing and leading our fixed index annuity and fixed annuity business strategy across the enterprise. He also works closely with our general agents and insurance carriers, ensuring exceptional service quality for our advisors, as well as driving insurance business growth and advisor penetration. His over 20 years in the financial services industry, including over 16 at a large life insurance company, lend him the expertise to guide advisors through complicated cases. He is a board member of the National Association of Insurance and Financial Advisors (New York State) and was formerly president of the Syracuse chapter.

In his spare time, you can find Gary hunting, fishing, or coaching youth lacrosse.

“Working with advisors individually and introducing them to solutions they might not have otherwise considered has been an enjoyable way for me to forge new relationships and cultivate Agency’s reputation for outstanding customer service.”

Diana Daly

Assistant Vice President, Product Relationship Manager

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Diana Daly

Assistant Vice President, Product Relationship Manager

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Diana Daly

Assistant Vice President, Product Relationship Manager

Diana joined Cadaret, Grant 14 years ago. She is responsible for supporting the development and expansion of our relationships with product and advisory-related partners, which includes raising advisor awareness of value-added partner solutions. She will also coordinate with the Investment Solutions and Advisory Services teams to ensure that all aspects of our new Partners Program are successfully implemented for each partner across the franchise.

“Having joined in 2005, I feel very grateful to have grown professionally with the firm and been able to develop my financial and marketing knowledge to help advisors grow their business. Over the years, I have been fortunate enough to have made lifelong friendships with my colleagues. It is my priority to make the advisor experience positive, welcoming, helpful, and personalized so that they, too, feel like family.”

Donna Farrell

Assistant Vice President, Registration

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Donna Farrell

Assistant Vice President, Registration

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Donna Farrell

Assistant Vice President, Registration

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.

“Over the years, I have made many close friends within Cadaret, Grant and with Cadaret, Grant Representatives. They are like family.”

Arthur Grant

Management Advisor

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Arthur Grant

Management Advisor

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Arthur Grant

Management Advisor

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. 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.

Check the background of Arthur Grant on FINRA’s BrokerCheck

“This industry has changed since my first job at the stock exchange, but one thing remains the same: loyalty, integrity, and customer service are essential for success.”

Kara Haggins

Assistant Vice President, Marketing

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Kara Haggins

Assistant Vice President, Marketing

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Kara Haggins

Assistant Vice President, Marketing

Kara joined Cadaret, Grant over 12 years ago as a Marketing Specialist, and her contagious enthusiasm has shaped the Marketing Department ever since. In addition to supporting advisors, Kara manages Marketing Department campaigns and initiatives, coordinates deliverables from fellow team members, oversees conferences and meetings, and compiles communications pieces for advisors. Kara received a bachelor’s degree from SUNY Oswego in public relations.

“I’ve enjoyed building my career at a firm that emphasizes excellent customer service. I take pride in helping advisors grow their business and I find it rewarding. Cadaret, Grant is my home away from home.”

Jennifer Hayes

Vice President, Operations

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Jennifer Hayes

Vice President, Operations

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Jennifer Hayes

Vice President, Operations

Jennifer's career in customer service includes over 20 years in the insurance arena. As Vice President, Operations, she oversees the employees in Agency, New Accounts Processing, 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.

“My goal is to ensure that representatives are receiving the best services in the most timely fashion. Managing a cohesive team is the first step in bringing superior customer service to fruition.”

Richard Hayes

Vice President, Head of Data Solutions

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Richard Hayes

Vice President, Head of Data Solutions

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Richard Hayes

Vice President, Head of Data Solutions

Rick worked for JP Morgan Chase for 16 years before joining Cadaret, Grant in 2005, As Vice President, Head of Data Solutions, Rick oversees the current data activities at Cadaret Grant while helping to develop and execute on the broader data strategy for the enterprise. This involves data integration, business intelligence reporting, advanced analytics, and data visualization. Rick enjoys learning and improving processes. His knowledge and career experience offer insights into new ways to streamline procedures and enhance efficiencies.

“Ensuring that our processes are as efficient as possible and working with employees to improve them is a challenge I enjoy.”

Donald Jaynes

Vice President, Compliance

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Donald Jaynes

Vice President, Compliance

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Donald Jaynes

Vice President, Compliance

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 a manager of Cadaret, Grant’s Compliance Department, located in Syracuse, New York.

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.

Check the background of Don Jaynes on FINRA’s BrokerCheck

“Every day we’re challenged with new situations. My job is to stay current with FINRA regulations and make compliance with them as easy as possible for representatives.”

Albert Johnson

Managing Director, Chief Compliance Officer

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Albert Johnson

Managing Director, Chief Compliance Officer

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Albert Johnson

Managing Director, Chief Compliance Officer

As Chief Compliance Officer, Al is responsible for the oversight and implementation of an effective compliance program to prevent illegal, unethical, or improper conduct, and monitoring and reporting results of the program. Al provides guidance on matters relating to reporting and compliance and ensures compliance with the rules and regulations of the firm and the securities industry. He also oversees all regulatory audits and inquiries. Al has over 20 years of experience in compliance leadership roles.

“We are partners with advisors in understanding and adhering to industry regulation. We ensure our firm and by extension, advisors, are employing compliance best practices in all aspects of regulatory requirements.”

Andrew Knapp

Vice President, Fixed Income

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Andrew Knapp

Vice President, Fixed Income

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Andrew Knapp

Vice President, Fixed Income

Andy joined us back in 2000, learned the proverbial "ropes," and quickly climbed his way to the top of the Trading ladder. He works with advisors to find bonds that best fit each client’s parameters by researching market pricing and availability. Andy says the best part of his job is working with advisors individually and truly tailoring his search to their specific needs. He is responsible for all fixed income trade activity. Andy received a bachelor’s degree from LeMoyne College, is an avid Syracuse University basketball fan, and he coaches youth basketball.

Check the background of Andrew Knapp on FINRA’s BrokerCheck

“I love the personal relationships I have with advisors and sharing the wide-ranging capabilities of the Fixed Income Desk with them.”

Kevin Makowski

Vice President, Cashiering

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Kevin Makowski

Vice President, Cashiering

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Kevin Makowski

Vice President, Cashiering

Over the past 30 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 eight 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 by our Cashiering staff, which has dramatically reduced processing times.

“Our industry is ever-changing. It constantly offers new learning opportunities and situations requiring creative thinking. It’s never the same day twice.”

Christopher Monk

Vice President, Head of Sales for Variable Annuity, Structured Product and Liability Solutions

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Christopher Monk

Vice President, Head of Sales for Variable Annuity, Structured Product and Liability Solutions

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Christopher Monk

Vice President, Head of Sales for Variable Annuity, Structured Product and Liability Solutions

Chris has over ten years of industry experience include sales and operations roles at two large financial companies in New Jersey.

Chris focuses on advancing and growing the variable annuity and structured product businesses and expanding liabilities solutions in our Independent Advisor Channel. He will be collaborating with our product partners to optimize the delivery of their solutions in the field to our advisors. Since 2014, Chris led the annuity sales effort at Cadaret Grant and earned a strong reputation with our advisors and annuity carrier partners for his tactical engagement in the field

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. Chris holds his Series 7, 24, and life and health licenses.

“Working with advisors individually to understand the needs of their clients and discuss variable annuity product options is one of the best parts of my job.”

Oksana Savich

Vice President, Advisory Services

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Oksana Savich

Vice President, Advisory Services

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Oksana Savich

Vice President, Advisory Services

Oksana is responsible for managing Advisory Support and oversees advisory platform support, services and functionality across the enterprise. Oksana joined Cadaret Grant in 2013 and has managed Advisory Operations for the past 5 years. Her in depth advisory experience working with various platforms, advisors and support staff places her in the ideal position to continuously improve our platform support moving forward.

Oksana received a bachelor’s degree in International Relations with minors in Finance and Economics from Syracuse University. She has 14 years of industry experience, most recently in the private wealth management division of Goldman Sachs.

“Leading the firm through our transition to Black Diamond and helping advisors discover all of its capabilities makes each day more interesting than the one before it.”

James Sleeper

Executive Director, President, Capital Strategy Group, Ltd.

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James Sleeper

Executive Director, President, Capital Strategy Group, Ltd.

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James Sleeper

Executive Director, President, Capital Strategy Group, Ltd.

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, is a 20-year member of the Central New York United Way Finance Committee, and devotes his time to enjoying his family and several charitable organizations for youth in the Central New York area.

“We encourage people to set career goals, and provide the means to achieve them through education and hands-on experience. We also reward accomplishment. ”

Andy Szymanowski

Vice President, Head of IT Infrastructure

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Andy Szymanowski

Vice President, Head of IT Infrastructure

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Andy Szymanowski

Vice President, Head of IT Infrastructure

As Head of IT Infrastructure, 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, and 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 since 2002. He is a graduate of the Dale Carnegie Skills for Success course.

“Our team works behind the scenes to ensure that when the doors open, we’re ready to do business. Our goal is to ensure that employees and advisors have technology tools ready at their fingertips.”

Donald Taylor, CPA

Managing Director, Chief Financial Officer

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Donald Taylor, CPA

Managing Director, Chief Financial Officer

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Donald Taylor, CPA

Managing Director, Chief Financial Officer

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 and Financial Reporting 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.

Check the background of Don Taylor on FINRA’s BrokerCheck

“In addition to a well-defined business focus, there are many operational, administrative, and financial aspects to our corporate efficiency. My task is to keep them synchronized and humming.”

Trisha Tymkiw

Executive Director, Financial Planning & Analysis

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Trisha Tymkiw

Executive Director, Financial Planning & Analysis

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Trisha Tymkiw

Executive Director, Financial Planning & Analysis

As Executive Director, Financial Planning & Analysis, Trisha focuses on developing and implementing enhanced reporting and analysis throughout the enterprise. Trisha supports the operational and regulatory affairs establishing procedural stability and corporate controls while nurturing productivity and collaboration among various departments. Trisha has been instrumental in supporting the company’s operational and regulatory affairs.

Trisha has a bachelor's degree in accounting and finance from Dominican University and has worked for the company since 1998.

“Ensuring that the company’s internal procedures are operating with precision and 100% accuracy is an ongoing challenge that I look forward to meeting each day.”