Conrad N. Catrini
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.
Conrad Nick Catrini, who also goes by Conrad Nick Catrini Jr, was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1985. Conrad had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2016 - December 27, 2016
INVESTACORP, INC.
October 24, 2005 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
February 23, 1996 - October 25, 2005
THE LEADERS GROUP, INC.
January 18, 1994 - February 23, 1996
OSAIC WEALTH, INC.
July 15, 1985 - August 18, 1993
C.A.L. INVESTMENT SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
