Joseph M. Floss

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CRD#: 1385629

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Michael Floss was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) JMF PROPERTIES LLC, CLARENCE CENTER, NY, DBA EAST AMHERST PROFESSIONAL PARK, REAL ESTATE, NON-INVESTMENT RELATED, Owner of land at 6465 Transit Road, Williamsville, NY. 2) NOTARY PUBLIC SINCE 1990,1 HOUR PER YEAR. 3) FLOSS FAMILY JAEGERHIMMEL, LLC., TREASUER, SECRETARY, START 3/06,1 HOUR PER MONTH. 4) EMS GROUP AGENCIES, LLC,START 1/08. 5) BRISTOL VILLAGE, CLARENCE CENTER, NY, START 1/09, NON-INVESTMENT RELATED, 1% OF TIME DEVOTED TO ACTIVITY, Secretary, ATTEND BOARD MEETINGS. 6) BROTHER'S OF MERCY FOUNDATION, CLARENCE, NY, ACCEPTED VOLUNTEER POSITION 2008, 1% OF TIME DEVOTED TO ACTIVITY, NON-INVESTMENT RELATED, ADVISORY BOARD MEMBER. 7) INSURANCE SALES, AGENT, START 1082, 50% OF TIME DEVOTED TO ACTIVITY, SELL ALL LINES OF PERSONAL & COMMERCIAL INSURANCE PRODUCTS. 8) MOUNT CALVARY CEMETERY GROUP, CHEEKTOWAGA, NY, BOARD MEMBER, START 6/2015, 1% OF TIME DEVOTED TO ACTIVITY, TYPICAL BOARD RESPONSIBILITIES. 9) B&E PROPERTIES LLC, 9092 MAIN STREET, MEMBER SINCE 2016, 31% OWNERSHIP OF AN OFFICE BUILDING, RENTAL INCOME IN THE FUTURE. 10) EMS WEALTH MANAGEMENT, 9092 MAIN STREET, CLARENCE, NY, FINANCIAL ADVISOR SINCE 12/2019, 10 HOURS PER MONTH. 10) DBA: EMERLING, FLOSS, MURPHY & ASSOCIATES LLC, 9092 MAIN STREET, CLARENCE, NY, 41.4% OWNER, SINCE 7/1/20, INSURANCE SALES, SIGN CO. CONTRACTS, NO FUND DISP AUTHORITY, NOT-INVESTMENT RELATED, 120 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 4, 2021 - August 10, 2023

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Clarence, NY

Past

October 14, 2008 - December 31, 2012

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Clarence, NY

Past

October 1, 2008 - August 10, 2023

CADARET, GRANT & CO., INC.

CRD#: 10641

Clarence, NY

Past

June 17, 1996 - October 6, 2008

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EAST AMHERST, NY

Past

August 15, 1994 - June 18, 1996

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

June 18, 1992 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/25/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/17/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CADARET, GRANT & CO., INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

Terminated by SEC on 12/09/2025

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Contact information

Main Address

100 Madison Street Suite 1300, Syracuse, NY 13202

Mailing Address

Phone number

(800) 288-8601

Established

Delaware since 04/16/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

692

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 4, INC.	SHAREHOLDER
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

Regulatory assets under management

Total Number of Accounts	25,442
AUM (Assets Under Management)	$ 7,671,069,034

Disclosures

Regulatory Event	17
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/14/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph M. Floss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

TOWER SQUARE SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

TOWER SQUARE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1992

SIE

Date: 10/1/2018

Series 6

Date: 6/17/1992

Current Firm

CADARET, GRANT & CO., INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CADARET, GRANT & CO., INC.

TRUST BUT VERIFY

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