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RD

Ralph A. Daiuto

KATAMA SECURITIES LLC
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 2771292
RD

Professional summary

Ralph Anthony Daiuto JR, who also goes by Ralph A. Daiuto Jr., Ralph Daiuto, Ralph Anthony Daiuto, is a registered financial professional currently at KATAMA SECURITIES LLC located in Alpharetta, Georgia.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1996. Ralph has worked at 20 firms and has passed the Series 63, Series 57TO, Series 82TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ralph A. Daiuto Jr. | Ralph Daiuto | Ralph Anthony Daiuto

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) - BD

Click below to view Ralph Anthony Daiuto JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 17, 2024 - Present

KATAMA SECURITIES LLC

Office #1: 6250 Shiloh Road, Suite 30-3, Alpharetta, GA 30005
BD
CRD#: 124667
Alpharetta, GA
Past

June 15, 2023 - December 16, 2024

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
NEW YORK, NY
Past

February 4, 2021 - July 14, 2022

CLEARLIST SECURITIES LLC

BD
CRD#: 309455
New York, NY
Past

April 13, 2020 - July 14, 2022

CLEARLIST LLC

BD
CRD#: 308066
New York, NY
Past

October 16, 2019 - August 10, 2021

SHARENETT SECURITIES LLC

BD
CRD#: 151011
New York, NY
Past

June 20, 2016 - June 19, 2019

SPEEDROUTE LLC

BD
CRD#: 104138
JERSEY CITY, NJ
Past

June 20, 2016 - June 19, 2019

TZERO SECURITIES, LLC

BD
CRD#: 123421
JERSEY CITY, NJ
Past

April 8, 2014 - May 9, 2014

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
NEW YORK, NY
Past

June 7, 2012 - January 6, 2015

WORLD-XECUTION STRATEGIES

BD
CRD#: 134645
NEW YORK, NY
Past

January 30, 2012 - December 10, 2014

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

March 4, 2011 - March 28, 2012

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

July 14, 2006 - May 29, 2012

DIMENSION SECURITIES, LLC

BD
CRD#: 139543
NEW YORK, NY
Past

May 18, 2006 - January 30, 2009

DIMENSION BROKERAGE, LLC

BD
CRD#: 136257
NEW YORK, NY
Past

February 2, 2005 - October 6, 2006

PETRA TRADING GROUP LLC

BD
CRD#: 131347
NEW YORK, NY
Past

October 12, 2004 - January 3, 2005

GENESIS SECURITIES, LLC

BD
CRD#: 46992
NEW YORK, NY
Past

March 3, 2003 - October 4, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

May 30, 2001 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

September 28, 1998 - September 8, 1999

SUMMIT TRADING, INC.

BD
CRD#: 43160
HOUSTON, TX
Past

March 18, 1997 - October 7, 1998

BLOCK TRADING INC.

BD
CRD#: 36666
HOUSTON, TX
Past

August 21, 1996 - January 22, 1997

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
District of Columbia
(3/25/2025)
RR
Florida
(6/19/2025)
RR
New Jersey
(3/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KATAMA SECURITIES LLC
KATAMA SECURITIES LLC | STANWICH ADVISORS LLC

CRD#: 124667 / SEC#: , 8-65708

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

Main Address
6250 Shiloh Road, Suite 30-3, Alpharetta, GA 30005
Mailing Address
6250 Shiloh Road, Suite 30 Box 11, Alpharetta, GA 30005
Phone number
(917) 363-6789
Established
Florida since 06/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 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#
KATAMA HOLDINGS, LLCMEMBER
AGERTON, DEBORAHFINOP/PFO/POO4460597
DAIUTO, RALPH ANTHONY JRMANAGING DIRECTOR2771292
GETZ, PETER LELANDMANAGING DIRECTOR1310930
VERNOIA, DEANCCO/COO1723925

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

KATAMA SECURITIES LLC

CRD#: 124667Alpharetta, GA 30005

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