Saverio Cataldo
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.
Saverio Cataldo, who also goes by Sam Cataldo, was a registered financial professional .
Saverio is a previously registered financial professional and started their career in finance in 1997. Saverio had worked at 5 firms and has passed the Series 63 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
June 18, 2003 - October 21, 2005
GUNNALLEN FINANCIAL, INC
July 17, 1998 - June 20, 2003
CONTINENTAL BROKER-DEALER CORP.
May 21, 1998 - July 6, 1998
EMERSON BENNETT & ASSOCIATES
June 14, 1997 - February 10, 1998
BRAUER & ASSOCIATES, INC.
January 31, 1997 - June 16, 1997
LCP CAPITAL CORP.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
