Vanden J. Catli
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.
Vanden Joseph Catli was a registered financial professional .
Vanden is a previously registered financial professional and started their career in finance in 1973. Vanden had worked at 10 firms and has passed the Series 63, Series 7, Series 3, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1990 - January 10, 1992
REICH & CO., INC.
August 25, 1989 - October 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 15, 1988 - July 7, 1988
LEHMAN BROTHERS INC.
May 27, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 8, 1984 - May 15, 1986
PRUDENTIAL EQUITY GROUP, LLC
October 7, 1981 - April 4, 1984
UBS FINANCIAL SERVICES INC.
February 10, 1981 - October 21, 1981
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1978 - February 15, 1981
LEHMAN BROTHERS INC.
November 9, 1977 - April 30, 1978
JSC SECURITIES, INC.
November 17, 1976 - December 4, 1977
SHEARSON HAYDEN STONE INC.
April 14, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
April 13, 1973 - November 19, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 2/1/1983
Interest Rate Options ExaminationPC
Date: 2/4/1981
AMEX Put and Call ExamSeries 1
Date: 4/11/1973
Registered Representative ExaminationCurrent Firm
REICH & CO., INC.
CRD#: 19611 / SEC#: , 8-37666
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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