Frank Catalano
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.
Frank Catalano was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 5 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - January 10, 2019
GEMMER ASSET MANAGEMENT LLC
July 8, 1997 - October 11, 2010
AMERICAN INVESTORS COMPANY
June 30, 1975 - October 11, 2010
AMERICAN INVESTORS COMPANY
October 12, 1973 - August 9, 1975
SOUTHMARK FINANCIAL SERVICES, INC.
July 3, 1973 - November 15, 1973
EQUITEC SECURITIES COMPANY
September 7, 1972 - August 2, 1973
PUTNAM FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
GEMMER ASSET MANAGEMENT LLC
CRD#: 109034 / SEC#: 801-56517
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
Series 1
Date: 8/30/1972
Registered Representative ExaminationSeries 00
Date: 3/7/1974
General Securities Principal ExaminationCurrent Firm
GEMMER ASSET MANAGEMENT LLC
CRD#: 109034 / SEC#: 801-56517
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,663 |
| AUM (Assets Under Management) | $ 2,011,228,822 |
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.
