John Frank Catalano
Professional Summary
John Frank Catalano is a registered financial advisor currently at FENIX SECURITIES, LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
FENIX SECURITIES, LLC
Contact Information
Main Address
One World Trade Center 85th Floor, New York, NY, 10007Mailing Address
One World Trade Center 85th Floor, New York, NY, 10007Phone Number
(212) 220-7444Established
Delaware since 06/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENIX FINANCIAL INC. | MEMBER | — |
| ANDERSON, KATHERINE ALICE | FINOP/PFO | 4723171 |
| BOUQUET ROLDAN, SANTIAGO NICOLAS | BRANCH MANAGER/PRINCIPAL | 6398632 |
| BROWN, MICHAEL OWEN | ASSISTANT FINOP | 1658070 |
| CATALANO, JOHN FRANK | COMPLIANCE PRINCIPAL | 2873076 |
| GALVEZ POURTALE, JULIAN | MANAGING PARTNER/PRINCIPAL | 4474817 |
| MIRRO, DANA NICOLE | CHIEF COMPLIANCE OFFICER/AML OFFICER | 6930752 |
| MOLE, NICOLAS VICTOR | ROP | 7374964 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/23/2023)
(12/3/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2006About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Frank Catalano's CRS (Customer Relationship Summary).
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