Louis J. Catone
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.
Louis James Catone was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2011. Louis had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2024 - February 27, 2026
DISTRIBUTION SERVICES, LLC
January 5, 2017 - June 27, 2024
FORESIDE FUND SERVICES, LLC
December 12, 2016 - July 26, 2024
WELLESLEY ASSET MANAGEMENT, INC.
November 7, 2016 - December 31, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
February 11, 2013 - October 24, 2016
MANULIFE INVESTMENT MANAGEMENT (US) LLC
February 7, 2013 - October 24, 2016
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 5, 2011 - February 13, 2013
MANNING & NAPIER INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
Red Flags
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