Chris Ann M. Catanese
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.
Chris Ann Marie Catanese, who also goes by Chris Ann Marie Catanese, Chris Ann Marie Ciuni, was a registered financial professional .
Chris Ann is a previously registered financial professional and started their career in finance in 1991. Chris Ann had worked at 3 firms and has passed the Series 99TO, 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
May 25, 2004 - September 20, 2022
INVERNESS SECURITIES, LLC
January 14, 2003 - May 25, 2004
AMERICA NORTHCOAST SECURITIES, INC.
February 5, 1996 - January 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 1991 - February 10, 1994
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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INVERNESS SECURITIES, LLC
CRD#: 129914 / SEC#: , 8-66278
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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