Raymond A. Catroppa
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.
Raymond Amile Catroppa, who also goes by Raymond A. Catroppa, Raymond Emile Catroppa, Raymond Catroppa, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1992. Raymond had worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2023 - April 1, 2025
CELADON FINANCIAL GROUP LLC
May 16, 2023 - September 7, 2023
SPARTAN CAPITAL SECURITIES, LLC
March 1, 2021 - May 11, 2023
SW FINANCIAL
December 19, 2018 - March 16, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
March 14, 2017 - November 23, 2018
TRIPOINT GLOBAL EQUITIES/BANQ(R)
September 5, 2014 - March 10, 2015
TRIPOINT GLOBAL EQUITIES/BANQ(R)
July 25, 2002 - November 21, 2003
NEUBERGER BERMAN BD LLC
September 19, 1996 - November 21, 2003
NEUBERGER BERMAN BD LLC
May 5, 1994 - August 6, 1996
FIRST MANHATTAN SECURITIES LLC
April 28, 1992 - April 19, 1994
CREDIT SUISSE SECURITIES (USA) LLC
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
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| 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.
