Catarino F. Felan
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.
Catarino F Felan III, who also goes by Catarino Felan III, Cato Felan III, was a registered financial professional .
Catarino is a previously registered financial professional and started their career in finance in 1998. Catarino had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2013 - April 19, 2018
DIMENSIONAL FUND ADVISORS LP
March 14, 2013 - April 19, 2018
DFA SECURITIES LLC
January 3, 2012 - February 15, 2013
BLACKROCK INVESTMENTS, LLC
November 9, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
November 12, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
October 17, 2008 - March 1, 2013
BLACKROCK FUND ADVISORS
March 12, 2008 - September 29, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
February 3, 2003 - September 29, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 28, 2002 - February 19, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
June 9, 2000 - June 7, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
October 6, 1999 - January 25, 2000
CITICORP INVESTMENT SERVICES
June 15, 1998 - September 15, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
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
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
Red Flags
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