Darlene M. Cataldi
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.
Darlene Marie Cataldi, who also goes by Darlene Marie Falgiani, Darlene Marie Gauss, was a registered financial professional .
Darlene is a previously registered financial professional and started their career in finance in 1992. Darlene had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
November 8, 2006 - March 23, 2018
HEFREN-TILLOTSON, INC.
November 8, 2006 - March 23, 2018
HEFREN-TILLOTSON, INC.
September 14, 2006 - November 14, 2006
UBS FINANCIAL SERVICES INC.
September 14, 2006 - November 14, 2006
UBS FINANCIAL SERVICES INC.
June 25, 2005 - September 5, 2006
JANNEY MONTGOMERY SCOTT LLC
June 25, 2005 - September 5, 2006
JANNEY MONTGOMERY SCOTT LLC
April 20, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
January 14, 1992 - June 25, 2005
PARKER/HUNTER 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
Exams
Current Firm
HEFREN-TILLOTSON, INC.
CRD#: 53 / SEC#: 801-55083, 8-10646
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASTERPLAN, INC. | OWNER OF HEFREN TILLOTSON | |
| BELT, DONALD MCGHEE | PRESIDENT | 2252406 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| FLEMING, KIMBERLY TILLOTSON | DIRECTOR | 871264 |
| MEREDITH, JAMES GERARD | EXECUTIVE VICE PRESIDENT | 853602 |
| NIESSLEIN, JOSEPH M | CFO / TREASURER | 3057789 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| TADDEO, PAUL EDWARD | CHIEF COMPLIANCE OFFICER | 1259114 |
| TILLOTSON, CRAIG ARTHUR | VICE CHAIRMAN | 1296742 |
Regulatory assets under management
| Total Number of Accounts | 30,861 |
| AUM (Assets Under Management) | $ 12,430,043,340 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
