Dominic J. Catrambone
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.
Dominic Joseph Catrambone, who also goes by Dom Catrambone, Don Catrambone, was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2000. Dominic had worked at 21 firms and has passed the Series 66, SIE, Series 31 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
April 20, 2022 - December 31, 2022
TIER ONE RISK MANAGEMENT
April 11, 2019 - September 30, 2020
REVOLUTION CAPITAL ADVISORS LLC
March 11, 2016 - March 31, 2016
MERCAP SECURITIES, LLC
April 24, 2014 - September 4, 2015
BA SECURITIES, LLC
July 23, 2013 - February 25, 2014
HALEN CAPITAL
March 13, 2013 - December 31, 2018
WHITFORD ADVISORY SERVICES, LLC
September 7, 2012 - January 2, 2013
HERITAGE FINANCIAL SYSTEMS, LLC
March 29, 2012 - December 4, 2012
ARIN RISK ADVISORS LLC
July 25, 2011 - November 8, 2011
SII INVESTMENTS, INC.
July 25, 2011 - November 8, 2011
SII INVESTMENTS, INC.
June 9, 2010 - July 22, 2011
VALLEY FORGE INVESTMENT CONSULTANTS, INC.
October 20, 2009 - July 22, 2011
VFIC SECURITIES, INC.
January 29, 2009 - October 20, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
January 21, 2009 - October 20, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
June 4, 2007 - January 12, 2009
SEI INVESTMENTS MANAGEMENT CORP
April 2, 2007 - May 3, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 3, 2007
MORGAN STANLEY & CO. LLC
April 25, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
January 4, 2006 - April 7, 2006
GUGGENHEIM DISTRIBUTORS, LLC
November 19, 2004 - April 7, 2006
CMG INVESTMENT ADVISORS,LLC
October 29, 2003 - December 31, 2005
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 16, 2001 - October 30, 2003
PAN-AMERICAN FINANCIAL ADVISERS
June 15, 2001 - December 16, 2001
AMERICAN CAPITAL CORPORATION
September 1, 2000 - December 18, 2000
FCG ADVISORS, LLC
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
TIER ONE RISK MANAGEMENT
CRD#: 317619 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 1,061,129 |
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.
