Lee A. Catalano

MEDIQUS ASSET ADVISORS

CHICAGO, IL 60631-3655

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CRD#: 1103023

Professional summary

Lee Anthony Catalano, CFP® is a registered financial advisor currently at MEDIQUS ASSET ADVISORS, INC. located in Chicago, Illinois.

Lee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Lee has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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)INSURANCE SALES; INVESTMENT RELATED; CHICAGO, IL; INSURANCE SALES; AGENT; ACTIVITY BEGAN 09/1984; I DEVOTE APPX 20 HOURS PER MONTH DURING TRADING HOURS TO THIS ACTIVITY; SALE OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Anthony Catalano's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1993

Experience

Current

December 20, 1997 - Present

MEDIQUS ASSET ADVISORS, INC.

Office #1: 8750 W. Bryn Mawr Ste 325, Chicago, IL 60631-3655

RIA

CRD#: 107694

CHICAGO, IL

Past

November 9, 2009 - December 3, 2024

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

CHICAGO, IL

Past

September 8, 2009 - November 5, 2009

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

January 3, 1996 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

CHICAGO, IL

Past

May 2, 1994 - January 1, 1996

AMERICAN MEDICAL INVESTMENT COMPANY, L.P.

CRD#: 36178

Past

August 1, 1990 - June 16, 1994

AMA INVESTMENT ADVISERS, INC.

CRD#: 678

CHICAGO, IL

Past

November 2, 1989 - August 8, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

November 2, 1989 - August 8, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

March 15, 1983 - October 17, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

MEDIQUS ASSET ADVISORS, INC.

MEDIQUS ASSET ADVISORS INC | MEDIQUS ASSET ADVISORS, INC.

CRD#: 107694 / SEC#: 801-50225

RIA

Registered Investment Advisory firm - (9/28/1995 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/20/1997)

IAR

Texas
(1/17/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/14/1991

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/24/1984

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MEDIQUS ASSET ADVISORS, INC.

MEDIQUS ASSET ADVISORS INC | MEDIQUS ASSET ADVISORS, INC.

CRD#: 107694 / SEC#: 801-50225

RIA

Registered Investment Advisory firm - (9/28/1995 Approved)

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Contact information

Main Address

8750 W. Bryn Mawr Ste 325, Chicago, IL 60631-3655

Mailing Address

Phone number

(312) 419-3733

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE 2AB FOR MEDIQUS ASSET ADVISORS (5/13/2025)

ADV BROCHURE PART 2AB WEALTH BUILDER (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,399
AUM (Assets Under Management)	$ 1,301,315,357

Red Flags

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

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Firm Stability Insights

Lee A. Catalano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Anthony Catalano's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSDAL FINANCIAL PARTNERS, INC.

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

AMERICAN MEDICAL INVESTMENT COMPANY, L.P.

AMA INVESTMENT ADVISERS, INC.

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MEDIQUS ASSET ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/1992

Series 63

Date: 11/15/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/26/1990

Series 6

Date: 3/14/1983

Series 53

Date: 11/14/1991

Series 24

Date: 2/22/1991

Series 26

Date: 10/24/1984

Current Firm

MEDIQUS ASSET ADVISORS, INC.

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEDIQUS ASSET ADVISORS, INC.

TRUST BUT VERIFY

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