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Brandon M. Cato

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CRD#: 5381639
BC

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.

Brandon M Cato, who also goes by Brandon Michael Cato, was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 2009. Brandon had worked at 2 firms and has passed the Series 7 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brandon Michael Cato

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 24, 2010 - January 2, 2013

CHERTOFF CAPITAL, LLC

BD
CRD#: 145134
WASHINGTON, DC
Past

August 18, 2009 - July 23, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 8/17/2009
General Securities Representative Examination

Current Firm

CC
CHERTOFF CAPITAL, LLC
BIO-IB CAPITAL PARTNERS, LLC. | CHERTOFF CAPITAL, LLC

CRD#: 145134 / SEC#: , 8-67707

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1399 New York Avenue, N.w. Suite 1100, Washington, DC 20005
Mailing Address
1399 New York Avenue, N.w. Suite 1100, Washington, DC 20005
Phone number
(202) 552-5280
Established
New York since 05/07/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE CHERTOFF GROUP, LLCOWNER
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS OFFICER PRINCIPAL1121231
SWEET, CHAD CREIGHTONPRESIDENT/MANAGING PRINCIPAL/INVESTMENT BANKNG PRINCIPAL2937087
VIRK, KANAD SINGHCCO/CR3155707

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.

Company Information

CHERTOFF CAPITAL, LLC

CRD#: 145134

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