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Gregg Thomas Catalano

CRD# 2551346·Registered 1996 - 2003
Previously Registered: Being a previously registered professional could mean that Gregg 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.

Professional Summary

Gregg Thomas Catalano was a registered financial advisor. Gregg was a previously registered financial professional and started their career in finance 1996 - 2003. Gregg had worked at 12 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
December 10, 2002 - September 22, 2003
GLENN MICHAEL FINANCIAL, INC.·CRD# 37912
BD
Melville, NY
January 7, 2002 - October 22, 2002
ESSEX NATIONAL SECURITIES, LLC·CRD# 25454
BD
Napa, CA
July 31, 2000 - June 15, 2001
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Long Island City, NY
September 2, 1999 - April 11, 2000
ESSEX NATIONAL SECURITIES, LLC·CRD# 25454
BD
Napa, CA
October 1, 1998 - August 25, 1999
LASALLE FINANCIAL SERVICES, INC.·CRD# 20373
BD
Chicago, IL
June 16, 1998 - August 31, 1999
ROBERT M. COHEN & CO., INC.·CRD# 21806
BD
Great Neck, NY
December 19, 1997 - June 17, 1998
LEGEND MERCHANT GROUP, INC.·CRD# 5155
BD
New York, NY
October 30, 1997 - December 6, 1997
D.L. CROMWELL INVESTMENTS, INC.·CRD# 37730
BD
Boca Raton, FL
June 26, 1997 - September 15, 1997
MILLENNIUM SECURITIES CORP.·CRD# 31695
BD
New York, NY
April 3, 1997 - June 23, 1997
MORGAN GRANT CAPITAL CORP.·CRD# 28595
BD
Garden City, NY
November 29, 1996 - April 30, 1997
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
July 29, 1996 - December 5, 1996
SMITH, BENTON & HUGHES, INC.·CRD# 20877
BD
Los Angeles, CA
January 12, 1996 - March 12, 1998

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1996About the Series 7 exam

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CRS (Client Relationship Summary)

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

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