OC
Oliviana L. Catrone
AMERANT INVESTMENTS
Tampa, FL 33609
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CRD#: 5719957
OC
Professional summary
Oliviana Laura Catrone, who also goes by Oliviana L Catrone, Oliviana Laura Catrone, Oliviana Laura Grama, is a registered financial advisor currently at AMERANT INVESTMENTS, INC. located in Tampa, Florida.
Oliviana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Oliviana has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Oliviana L Catrone | Oliviana Laura Catrone | Oliviana Laura Grama
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.
CRS (Client Relationship Summary) - RIA
Click below to view Oliviana Laura Catrone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Oliviana Laura Catrone'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®
NoneExperience
Current
October 22, 2024 - Present
AMERANT INVESTMENTS, INC.
Office #1: 4830 West Kennedy Boulevard Suite 150, Tampa, FL 33609RIA
BD
CRD#: 117284
Tampa, FL
Current
September 24, 2024 - Present
AMERANT INVESTMENTS, INC.
Office #1: 4830 West Kennedy Boulevard Suite 150, Tampa, FL 33609RIA
BD
CRD#: 117284
Tampa, FL
Past
January 20, 2023 - September 6, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Tampa, FL
Past
September 29, 2022 - September 6, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Tampa, FL
Past
April 26, 2016 - August 30, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
TAMPA, FL
Past
October 7, 2013 - March 16, 2016
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CLEARWATER, FL
Past
October 15, 2010 - February 22, 2013
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
WESTLAKE, OH
Past
November 2, 2009 - November 12, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CLEVELAND, OH
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".
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
CRD#: 117284 / SEC#: 801-61889, 8-53612
RIA
Registered Investment Advisory firm - SEC (8/9/2002 Approved)Florida
Registered Investment Advisory firm - SEC (8/19/2002 Terminated)New York
Registered Investment Advisory firm - SEC (8/9/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
Florida(9/24/2024)
IAR
Florida(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
CRD#: 117284 / SEC#: 801-61889, 8-53612
RIA
Registered Investment Advisory firm - SEC (8/9/2002 Approved)Florida
Registered Investment Advisory firm - SEC (8/19/2002 Terminated)New York
Registered Investment Advisory firm - SEC (8/9/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134
Mailing Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134
Phone number
(305) 460-8599
Established
Delaware since 07/24/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
41
SEC notice filing (8 States and Territories)
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERANT BANK, N.A. | SHAREHOLDER | |
| CALDERON YEPEZ, SHARYMAR EGLLEE | DIRECTOR | 7809045 |
| CAPRILES, ALBERTO MANUEL | DIRECTOR | 6998024 |
| GARGANTA, ANDRES JOSE | DIRECTOR | 5483075 |
| GUERRERO, SERGIO EMILIANO MR. | COO & FINOP | 5718350 |
| IAFIGLIOLA, CARLOS | DIRECTOR | 7285620 |
| LUCAS, EMERIS DEL VALLE | BRANCH MANAGER | 5193416 |
| RESTREPO, JOSE VICENTE | CCO | 6148942 |
Regulatory assets under management
| Total Number of Accounts | 1,194 |
| AUM (Assets Under Management) | $ 688,203,169 |
Disclosures
| Regulatory Event | 1 |
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
AMERANT INVESTMENTS, INC.
CRD#: 117284Tampa, FL 33609TRUST BUT VERIFY
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