Dean W. Catalano
Professional summary
Dean William Catalano, who also goes by Dean W Catalano, is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Dean has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dean William Catalano's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 333 South Hope Street, Los Angeles, CA 90071Office #2: 11100 Santa Monica Blvd. 16th Floor, Los Angeles, CA, 90025September 26, 2018 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
November 18, 2011 - September 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 17, 2011 - September 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
May 25, 2005 - July 7, 2009
ALLIANCEBERNSTEIN L.P.
May 19, 2005 - July 7, 2009
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/29/2021)
(7/1/2021)
Exams
Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
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.
