Carl M. Katerndahl
Professional summary
Carl Michael Katerndahl, who also goes by Carl Katerndahl, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in Miami, Florida.
Carl is registered as a RR (Registered Representative) and started their career in finance in 1988. Carl has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carl Michael Katerndahl's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2024 - Present
FEF DISTRIBUTORS, LLC
September 1, 2011 - July 16, 2019
NUVEEN ASSET MANAGEMENT, LLC
February 9, 2009 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
February 19, 2003 - July 16, 2019
NUVEEN SECURITIES, LLC
October 10, 2002 - January 27, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
August 1, 2002 - December 31, 2011
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
March 18, 1999 - July 10, 2001
FORESIDE FUNDS DISTRIBUTORS LLC
May 12, 1994 - May 19, 1997
MORGAN STANLEY DW INC.
July 6, 1990 - April 14, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1989 - July 25, 1990
LEHMAN BROTHERS INC.
January 30, 1988 - February 6, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/18/2024)
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(4/26/2024)
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(11/15/2024)
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(10/25/2024)
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(11/7/2024)
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Exams
FINRA
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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