Alex M. Catarroja

MOOMOO FINANCIAL

JERSEY CITY, NJ 07311

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CRD#: 4151962

Professional summary

Alex M. Catarroja, who also goes by Alex Malabanan Catarroja, is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey and FUTU CLEARING INC located in Dallas, Texas.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2006. Alex has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 4, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Malabanan Catarroja

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 Alex M. Catarroja's 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

January 10, 2023 - Present

MOOMOO FINANCIAL INC.

Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311

CRD#: 283078

JERSEY CITY, NJ

Current

November 13, 2024 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251

CRD#: 298769

Dallas, TX

Past

August 6, 2023 - February 8, 2024

FUTU WEALTH ADVISORS, INC.

RIA

CRD#: 310790

Rocklin, CA

Past

June 2, 2006 - January 18, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

San Francisco, CA

Past

January 1, 2006 - January 18, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Francisco, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/14/2023)

New Jersey
(11/19/2024)

Texas
(11/19/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/1/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/26/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 23

Date: 3/30/2006

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 3/3/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/2/2006

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Mailing Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Phone number

(972) 665-6903

Established

Delaware since 08/13/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FUTU US INC	OWNER
DU, SHUANG	HEAD OF US OPERATIONS	5005050
KELLY, PATRICK JAMES	CHIEF EXECUTIVE OFFICER	3126322
SHARMA, VICKRAMJIT	CHIEF LEGAL OFFICER	7186502
SHEN, QIUFANG	HEAD OF FINANCE	3158926
STIFELMAN, GLEN ROBERT	CHIEF COMPLIANCE OFFICER	1699013

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.

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Advisor Monitoring

Firm Stability Insights

Alex M. Catarroja

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alex M. Catarroja's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUTU CLEARING INC

FUTU WEALTH ADVISORS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2005

Series 24

Date: 1/2/2023

Series 4

Date: 4/26/2006

Series 23

Date: 3/30/2006

Series 10

Date: 3/3/2006

Series 9

Date: 2/2/2006

FINRA

Current Firm

FUTU CLEARING INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FUTU CLEARING INC

TRUST BUT VERIFY

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