Mark A. Cataldo
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.
Mark Anthony Cataldo was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2010 - February 17, 2015
REALTY CAPITAL SECURITIES, LLC
March 20, 2008 - May 18, 2010
GRUBB & ELLIS SECURITIES, INC.
January 6, 2001 - February 20, 2008
CAPITAL CLIENT GROUP, INC.
February 28, 2000 - January 3, 2001
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 4, 1999 - February 25, 2000
FINANCIAL WEST GROUP
June 22, 1992 - June 25, 1999
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
REALTY CAPITAL SECURITIES, LLC
CRD#: 145454 / SEC#: , 8-67727
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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