Cataldo A. Morgia
Professional summary
Cataldo Anthony Morgia, who also goes by Butch Morgia, Cataldo A Morgia, Cataldo Athony Morgia, Tony Morgia, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Watertown, New York.
Cataldo is registered as a RR (Registered Representative) and started their career in finance in 1969. Cataldo has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cataldo Anthony Morgia's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2010 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 151 Mullin Street, Watertown, NY 13601November 29, 2010 - December 28, 2015
HIGHTOWER ADVISORS, LLC
June 1, 2009 - December 13, 2010
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 17, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
April 15, 1969 - May 5, 1977
SPENCER TRASK & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/26/2010)
(11/26/2010)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/14/1979
AMEX Put and Call ExamSeries 1
Date: 4/11/1969
Registered Representative ExaminationFINRA
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
