JC
James L. Cattaneo
ONEDIGITAL
Auburn Hills, MI 48326
Some features on this profile are disabled
CRD#: 1102088
JC
Professional summary
James Louis Cattaneo, CFP®, who also goes by James Cattaneo, Jim Cattaneo, is a registered financial advisor currently at ONEDIGITAL located in Auburn Hills, Michigan and OSAIC WEALTH, INC. located in Auburn Hills, Michigan.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Cattaneo | Jim Cattaneo
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)James L. Cattaneo & Associates;not investment related;personal tax preparation;tax preparer;1/10/1983;48 hrs during 2 months;1.5 hrs during trading;prepare and e-file individual tax return 2)Multiple fixed products;investment related;selling different insurance products;financial advisor;2/10/1984;various;30 minutes;based on the clients needs,tolerance for risk and objectives 3)SHA Retirement Group;investment related;financial services;financial advisor;3/2017;160 hrs/month;6.5 hrs during trading;consult on retirement plans 4)One Digital;investment related;3254 University Dr,#190,Auburn Hills,MI 48386;RIA;financial advisor;11/2020;120 hrs/month;advise clients,service clients,meet with clients,provide planning,annual reviews
CRS (Client Relationship Summary) - RIA
Click below to view James Louis Cattaneo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1990
Experience
Current
April 14, 2017 - Present
ONEDIGITAL
Office #1: 900 North Squirrel Rd Ste 120, Auburn Hills, MI 48326RIA
CRD#: 106766
Auburn Hills, MI
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 900 N Squirrel Rd Ste 120, Auburn Hills, MI 48326RIA
BD
CRD#: 23131
Auburn Hills, MI
Past
March 16, 2017 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Auburn Hills, MI
Past
August 26, 2010 - March 28, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
STERLING HEIGHTS, MI
Past
January 6, 1993 - March 28, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
STERLING HEIGHTS, MI
Past
July 16, 1987 - January 11, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
March 29, 1983 - July 31, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
March 29, 1983 - August 3, 1987
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
Registered Investment Advisory firm - (1/22/1992 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/23/2024)
RR
California(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
IAR
Michigan(4/14/2017)
RR
Michigan(8/23/2024)
RR
Missouri(8/23/2024)
RR
Ohio(8/23/2024)
RR
Rhode Island(5/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
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Contact information
Main Address
11101 Switzer Road Suite 200, Overland Park, KS 66210
Mailing Address
Phone number
(877) 742-2021
Established
Firm type
Fiscal year end
# of Employees
610
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 38,423 |
| AUM (Assets Under Management) | $ 142,602,344,768 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 08/27/2024 | ||
| 10/16/2023 |
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.
