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JM

Joseph J. Meuse

Some features on this profile are disabled
CRD#: 2538713
JM

Professional summary

Joseph John Meuse was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Joseph had worked at 5 firms, which includes CATO CAPITAL LLC, TRADEPRO SECURITIES LLC., FDX CAPITAL LLC, BELMONT PARTNERS SECURITIES INC., LEGG MASON WOOD WALKER INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 4, 2010 - March 11, 2011

CATO CAPITAL, LLC

BD
CRD#: 133142
WASHINGTON, VA
Past

April 3, 2007 - January 4, 2010

TRADEPRO SECURITIES, LLC.

BD
CRD#: 103781
WASHINGTON, VA
Past

October 2, 2006 - July 9, 2007

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

August 17, 2006 - February 6, 2009

BELMONT PARTNERS SECURITIES INC.

BD
CRD#: 30189
WASHINGTON, VA
Past

May 12, 2005 - September 6, 2006

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK CITY, NY
Past

November 1, 1994 - January 10, 1995

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555

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: 7/11/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/6/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/1/2005
General Securities Principal Examination

Current Firm

CC
CATO CAPITAL, LLC
CATO CAPITAL, LLC

CRD#: 133142 / SEC#: , 8-66689

BD
Terminated by SEC on 01/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 06/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAX, SOLOMON DMEMBER3023744
LINDENTHAL, HAROLD NMNMANAGING MEMBER, PRES, CCO., CORPORATE CFO1231111
FISCHER, KAREN ZILLIAFINANCIAL AND OPERATIONS PRINCIPAL/ CFO1708090

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.

Company Information

CATO CAPITAL, LLC

CRD#: 133142

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