Jason T. Arena

CATUM ADVISORY GROUP.

WILTON, CT 06897

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CRD#: 4968383

Professional summary

Jason Thomas Arena is a registered financial advisor currently at CATUM ADVISORY GROUP, LLC. located in Wilton, Connecticut.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Jason has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) Catum Advisory Group; investment related - Westport, CT 06880 - since 2/1/2016. Responsibility relates to investment strategy, research and relationship management. This position is compensated by salary. This is a full-time position on weekdays mostly during securities trading hours. (2) Contour Mortgage; Not investment related - 2705 Ave U, Brooklyn, NY 11229. Mortgage Loan Originator. Start: Sept 2021. 4 hours/mo (0 during trading hours). (3) Luxury Zoo, LLC - Not investment related. 215 Bowery St., New York, NY 10002. 4 hours per month. 0 hours during trading hours. Start date, June 2022. Financial modeling and analysis. (4) AAA Office Furniture - Not investment related. 251 Elizabeth St., New York, NY 10012. 4 hours per month. 0 hours during trading hours. Start date, June 2022. Financial modeling and analysis.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Thomas Arena'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

February 16, 2017 - Present

CATUM ADVISORY GROUP, LLC.

Office #1: 88 Danbury Rd Suite 2d, Wilton, CT 06897

RIA

CRD#: 277148

WILTON, CT

Past

November 21, 2020 - December 6, 2021

UMERGENCE LLC

CRD#: 284368

PLANTSVILLE, CT

Past

February 22, 2018 - December 3, 2018

GRAMERCY SECURITIES, INC.

CRD#: 8177

WESTPORT, CT

Past

March 10, 2008 - March 14, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 22, 2006 - February 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENWICH, CT

Past

June 22, 2006 - February 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENWICH, CT

Past

September 5, 2005 - June 26, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

FAIRFIELD, CT

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(2/16/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/2005

General Securities Representative Examination

Current Firm

CATUM ADVISORY GROUP, LLC.

CRD#: 277148 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/13/2016 Approved)

Florida

Registered Investment Advisory firm - (7/18/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/8/2017 Approved)

New Jersey

Registered Investment Advisory firm - (11/18/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

88 Danbury Rd Suite 2d, Wilton, CT 06897

Mailing Address

P.o. Box 325, Easton, CT 06612-0325

Phone number

(203) 344-7770

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	273
AUM (Assets Under Management)	$ 107,571,000

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

Jason T. Arena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Thomas Arena's CRS (Customer Relationship Summary).

Certified licenses

Experience

UMERGENCE LLC

GRAMERCY SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COMMONWEALTH FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2006

Series 7TO

Date: 7/19/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/3/2005

Current Firm

CATUM ADVISORY GROUP, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CATUM ADVISORY GROUP, LLC.

TRUST BUT VERIFY

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