VC
Vincent J. Catalano
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Camp Hill, PA 17011
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CRD#: 5238819
VC
Professional summary
Vincent J Catalano, AIF®, who also goes by VIncent Joseph Catalano, Vincent Catalano, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Camp Hill, Pennsylvania and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Camp Hill, Pennsylvania.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Vincent has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vincent Joseph Catalano | Vincent Catalano
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) KCA WEALTH MANAGEMENT, LLC, 3806 Market St Suite 1, Camp HIll PA 17011, United States, 09/12/2016, Co-Owner/Partner, Owner/Partner of a Business Entity, NIR, 20 HR/MO - 10 HR/MO TRADING 2) INSURANCE, 3806 MARKET ST SUITE 1 CAMP HILL PA 17011, 08/2006, INDEPENDANT INSURANCE AGENT FOR VARIOUS INDEPENDANT INSURANCE COMPANIES, INV REL, 100 HR/MONTH 100 HR/MONTH TRADING 3) HOLISTIC TAX SERVICES, 3806 MARKET ST SUITE 1 CAMP HILL PA 17011, 01/2021, MARKETING, TAX PREPARATION, NIR, 8 HR/MONTH 8 HR/MONTH TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 05/05/2022 5) FINANCIAL PLANNING COURSES / 3806 Market St Suite 1, Camp HIll PA 17011 / 11/01/2018 / NIR / MARKETING - REGISTRATION FEES FOR FINANCIAL EDUCATION COURSES / 3 HR/MO - 3 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Vincent J Catalano'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®
Experience
Current
May 5, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3806 Market St. Ste. 1, Camp Hill, PA 17011Office #2: 1132 East Chocolate Ave., Hershey, PA 17033Office #3: 401 E Louther St. 1st Floor, Building A, Carlisle, PA 17013RIA
CRD#: 134139
Camp Hill, PA
Current
May 2, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3806 Market St. Ste. 1, Camp Hill, PA 17011Office #2: 1132 East Chocolate Ave., Hershey, PA 17033Office #3: 401 E Louther St. 1st Floor, Building A, Carlisle, PA 17013BD
CRD#: 39543
Camp Hill, PA
Past
October 16, 2018 - May 1, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
CAMP HILL, PA
Past
October 9, 2018 - May 1, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CAMP HILL, PA
Past
July 12, 2010 - October 12, 2018
OSAIC FA, INC.
RIA
CRD#: 3978
CAMP HILL, PA
Past
July 12, 2010 - October 12, 2018
OSAIC FA, INC.
BD
CRD#: 3978
CAMP HILL, PA
Past
January 29, 2008 - July 22, 2010
EQUITY SERVICES, INC.
RIA
CRD#: 265
CLEONA, PA
Past
November 28, 2006 - July 22, 2010
EQUITY SERVICES, INC.
BD
CRD#: 265
CLEONA, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
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
RR
Alabama(7/18/2024)
RR
Arizona(7/13/2022)
RR
California(5/2/2022)
RR
Delaware(5/25/2022)
RR
Florida(6/29/2022)
RR
Indiana(5/2/2022)
RR
Maryland(5/2/2022)
RR
Montana(9/12/2023)
RR
New Hampshire(6/23/2022)
RR
New Jersey(5/2/2022)
RR
New York(5/2/2022)
RR
North Carolina(5/23/2022)
RR
Oregon(5/12/2022)
RR
Pennsylvania(5/5/2022)
IAR
Pennsylvania(5/5/2022)
RR
Rhode Island(5/2/2022)
RR
South Carolina(5/2/2022)
RR
South Dakota(5/22/2025)
IAR
Texas(2/6/2023)
RR
Texas(2/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
