Robert F. Catoggio
Professional summary
Robert Francis Catoggio was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Robert had worked at 9 firms, which includes HANOVER STERLING & COMPANY LTD., GKN SECURITIES CORP., A.S. GOLDMEN & CO. INC., FIRST FIDELITY CAPITAL CORP., INDIVIDUAL'S SECURITIES LTD., PHILIPS APPEL & WALDEN INC., INVESTMENT BROKERS OF AMERICA, VANDERBILT SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 1991 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
October 23, 1990 - January 16, 1991
GKN SECURITIES CORP.
August 30, 1990 - September 10, 1990
A.S. GOLDMEN & CO., INC.
May 8, 1989 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
February 8, 1988 - February 7, 1989
INDIVIDUAL'S SECURITIES LTD.
July 17, 1987 - December 22, 1987
PHILIPS, APPEL & WALDEN, INC.
July 6, 1987 - July 27, 1987
INVESTMENT BROKERS OF AMERICA
January 13, 1987 - June 2, 1987
VANDERBILT SECURITIES, INC.
November 19, 1985 - March 4, 1987
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
HANOVER, STERLING & COMPANY LTD.
CRD#: 15491 / SEC#: , 8-32291
Contact information
Documents
Red Flags
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