Louis G. Catapano
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.
Louis Guy Catapano was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1993. Louis had worked at 9 firms and has passed the Series 63, Series 55 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
July 13, 2000 - April 11, 2001
CROWN FINANCIAL GROUP, INC.
March 2, 2000 - June 22, 2000
DRAKE & COMPANY, INC.
January 29, 1999 - April 23, 1999
PRESTON LANGLEY ASSET MANAGEMENT, INC.
July 2, 1998 - December 11, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
March 29, 1996 - July 11, 1997
EURO-ATLANTIC SECURITIES INC.
May 16, 1995 - January 24, 1996
LT LAWRENCE & CO., INC.
December 12, 1994 - May 18, 1995
JOSEPH STEVENS & CO., INC.
November 30, 1993 - December 23, 1994
HANOVER, STERLING & COMPANY LTD.
October 7, 1993 - November 23, 1993
A.S. GOLDMEN & CO., INC.
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 55
Date: 5/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
CROWN FINANCIAL GROUP, INC.
CRD#: 540 / SEC#: , 8-8381
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROWN FINANCIAL HOLDINGS, INC. (PUBLICLY REPORTING ENTITY UNDER SECTION 12 OF THE '34 ACT.) | SHAREHOLDER | |
| HOOBLER, JEFFREY MICHAEL | INTERIM PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | 1406028 |
| LEIGHTON, JOHN PATRICK | CHAIRMAN/CEO/PRESIDENT/DIRECTOR | 724359 |
| THORNTON, ROBERT SEAVEY | SENIOR VICE PRESIDENT/CFO/TREASURER/FINOP | 1188684 |
Disclosures
| Regulatory Event | 31 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
