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Donald R. Catapano

Some features on this profile are disabled
CRD#: 2361099
DC

Professional summary

Donald Robert Catapano was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Donald had worked at 8 firms, which includes HARVESTONS SECURITIES INC., BAXTER BANKS & SMITH LTD., INTERNATIONAL BOND AND SHARE INC., WEST AMERICA SECURITIES CORP, SMITH BENTON & HUGHES INC., PRESTON LANGLEY ASSET MANAGEMENT INC., RUSSO SECURITIES INC., ROBERT TODD FINANCIAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Catapano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 31, 2000 - November 6, 2000

HARVESTONS SECURITIES, INC.

BD
CRD#: 34509
GREENWOOD VILLAGE, CO
Past

May 6, 1998 - March 21, 2000

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
ST. PETERSBURG, FL
Past

March 16, 1998 - May 13, 1998

HARVESTONS SECURITIES, INC.

BD
CRD#: 34509
GREENWOOD VILLAGE, CO
Past

November 17, 1997 - March 24, 1998

INTERNATIONAL BOND AND SHARE, INC.

BD
CRD#: 43196
ST. PETERSBURG, FL
Past

May 8, 1997 - November 18, 1997

WEST AMERICA SECURITIES CORP

BD
CRD#: 35035
LAS VEGAS, NV
Past

September 19, 1995 - May 8, 1997

SMITH, BENTON & HUGHES, INC.

BD
CRD#: 20877
LOS ANGELES, CA
Past

May 8, 1995 - September 26, 1995

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
NEW YORK, NY
Past

July 2, 1993 - May 5, 1995

RUSSO SECURITIES INC.

BD
CRD#: 14425
STATEN ISLAND, NY
Past

June 8, 1993 - July 12, 1993

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/1995
General Securities Principal Examination

Current Firm

HS
HARVESTONS SECURITIES, INC.
HARVESTONS SECURITIES, INC.

CRD#: 34509 / SEC#: , 8-46293

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
8301 E. Prentice Ave. Suite 305, Greenwood Village, CO 80111
Mailing Address
8301 E. Prentice Ave. Suite 305, Greenwood Village, CO 80111
Phone number
(303) 832-8887
Established
Colorado since 01/15/1993
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BASSEY, MORGAN OKONCCO2279731
BASSEY, MORGAN OKONPRESIDENT/ CEO2279731
BASSEY, SUPANGEXECUTIVE VICE PRESIDENT2910155

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HARVESTONS SECURITIES, INC.

CRD#: 34509

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