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JC

John F. Catalano

FENIX SECURITIES
New York, NY 10007
Some features on this profile are disabled
CRD#: 2873076
JC

Professional summary

John Frank Catalano is a registered financial professional 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.

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) - BD

Click below to view John Frank Catalano'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 3, 2018 - Present

FENIX SECURITIES, LLC

Office #1: One World Trade Center 85th Floor, New York, NY, 10007Office #2: One World Trade Center 85th Floor, New York, NY, 10007
BD
CRD#: 159481
New York, NY
Past

September 4, 2013 - September 9, 2013

J.H. DARBIE & CO., INC.

RIA
CRD#: 43520
NEW YORK, NY
Past

February 23, 2012 - September 28, 2018

J.H. DARBIE & CO., INC.

BD
CRD#: 43520
NEW YORK, NY
Past

May 25, 2011 - November 2, 2011

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

April 15, 2011 - November 2, 2011

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

May 29, 2007 - May 27, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 29, 2007 - May 27, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 20, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
NEW YORK, NY
Past

January 13, 2000 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
NEW YORK, NY
Past

March 20, 1999 - March 30, 2000

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

May 11, 1998 - March 10, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 5, 1998 - April 15, 1998

BENSON YORK GROUP, INC.

BD
CRD#: 40231
MELVILLE, NY
Past

July 21, 1997 - December 31, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

April 30, 1997 - August 21, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, 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
Delaware
(1/23/2023)
RR
New York
(12/3/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/4/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/12/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/29/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FENIX SECURITIES, LLC
FENIX SECURITIES, LLC

CRD#: 159481 / SEC#: , 8-68988

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

Main Address
One World Trade Center 85th Floor, New York, NY, 10007
Mailing Address
One World Trade Center 85th Floor, New York, NY, 10007
Phone number
(212) 220-7444
Established
Delaware since 06/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 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#
FENIX FINANCIAL INC.MEMBER
ANDERSON, KATHERINE ALICEFINOP/PFO4723171
BROWN, EVAN MICHAELCHIEF COMPLIANCE OFFICER /AML COMPLIANCE OFFICER6563464
CATALANO, JOHN FRANKCOMPLIANCE PRINCIPAL2873076
GALVEZ POURTALE, JULIANMANAGING PARTNER/PRINCIPAL/ROP4474817

Disclosures

Regulatory Event3

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

FENIX SECURITIES, LLC

CRD#: 159481New York, NY 10007

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