Robert A. Catarella
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.
Robert Anthony Catarella was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 79 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
November 28, 2011 - August 3, 2015
GREENSLEDGE CAPITAL MARKETS LLC
March 13, 2001 - August 27, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
November 13, 2000 - January 22, 2001
NOMURA SECURITIES INTERNATIONAL, INC.
July 13, 1998 - November 29, 2000
UBS FINANCIAL SERVICES INC.
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
GREENSLEDGE CAPITAL MARKETS LLC
CRD#: 151026 / SEC#: , 8-68328
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENSLEDGE HOLDINGS LLC | OWNER | |
| GOLDWASSER PLUTZIK, LESLEY DANA | MANAGING DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE | 1315659 |
| KANE, JAMES BRASSLER | MANAGING DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE | 2568683 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| WORMSER, KENNETH MARK | MANAGING DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE | 2099206 |
| ZEITLIN, BRIAN SCOTT | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/MEMBER OF MANAGEMENT COMMITTEE | 2898818 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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