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CM

Catherine L. Milano

Some features on this profile are disabled
CRD#: 1673797
CM

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.

Catherine Lynn Milano was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 2001. Catherine had worked at 5 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 10, Series 9, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 16, 2010 - April 24, 2012

OAK STREET SECURITIES, INC.

BD
CRD#: 133591
FOREST LAKE, MN
Past

August 26, 2008 - January 28, 2009

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

January 12, 2005 - August 26, 2005

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW YORK, NY
Past

June 29, 2004 - September 29, 2006

SPIKE FINANCIAL SERVICES, LLC

BD
CRD#: 112193
CHICAGO, IL
Past

May 18, 2004 - June 14, 2004

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

April 26, 2001 - March 24, 2004

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/11/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/29/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/25/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/20/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/18/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 30
Date: 12/14/2001
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/29/2001
General Securities Principal Examination

Current Firm

OS
OAK STREET SECURITIES, INC.
CAPSTONE FINANCIAL GROUP, INC. | OAK STREET SECURITIES, INC.

CRD#: 133591 / SEC#: , 8-66743

BD
Terminated by SEC on 10/15/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 01/25/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OPSAHL, SHARON BORGFINANCIAL & OPERATIONS PRIN.4890908
OPSAHL, THOMAS RONALDCHIEF COMPLIANCE OFFICER1222683

Disclosures

Regulatory Event1

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.

Company Information

OAK STREET SECURITIES, INC.

CRD#: 133591

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