Thomas A. Caterina
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.
Thomas Anthony Caterina, who also goes by Thomas A Caterina, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2007 - December 5, 2007
SIG SPECIALISTS, INC.
June 3, 2005 - February 1, 2007
SIG BROKERAGE, LP
August 16, 1999 - June 16, 2005
SIG SPECIALISTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIG SPECIALISTS, INC.
CRD#: 21831 / SEC#: , 8-39317
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
