Gina M. Catalano
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.
Gina M Catalano, who also goes by Gina Marie Catalano, was a registered financial advisor .
Gina is a previously registered financial advisor and started their career in finance in 1995. Gina had worked at 17 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2010 - August 6, 2013
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
February 10, 2009 - September 30, 2010
FIRST REPUBLIC WEALTH ADVISORS, LLC
October 1, 2008 - August 6, 2013
FIRST REPUBLIC SECURITIES COMPANY, LLC
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
March 7, 2008 - October 7, 2008
LEHMAN BROTHERS INC.
June 25, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
April 24, 2007 - July 9, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
January 16, 2007 - May 3, 2007
UBS FINANCIAL SERVICES INC.
January 11, 2007 - May 3, 2007
UBS FINANCIAL SERVICES INC.
May 31, 2005 - June 21, 2006
CREDIT SUISSE SECURITIES (USA) LLC
May 31, 2005 - June 21, 2006
CREDIT SUISSE SECURITIES (USA) LLC
January 31, 2005 - June 3, 2005
OPPENHEIMER & CO. INC.
January 31, 2005 - June 3, 2005
OPPENHEIMER & CO. INC.
June 21, 2002 - September 3, 2004
JEFFERIES LLC
January 13, 2001 - June 24, 2002
DEUTSCHE BANK SECURITIES INC.
August 30, 1999 - January 13, 2001
DB ALEX. BROWN LLC
April 12, 1999 - November 4, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 1998 - April 12, 1999
BANC OF AMERICA SECURITIES LLC
September 20, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
August 1, 1996 - September 16, 1996
DABNEY/RESNICK/IMPERIAL, LLC
December 5, 1995 - August 5, 1996
SCHRODER & CO. 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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
