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CR

Catherine Roseberry

APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
Some features on this profile are disabled
CRD#: 5854816
CR

Professional summary

Catherine Roseberry, who also goes by Catherine Joan Stugart Roseberry, Catherine Stugart Roseberry, Catherine Joan Stugart, Catherine Stugart, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Catherine is registered as a RR (Registered Representative) and started their career in finance in 2010. Catherine has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Joan Stugart Roseberry | Catherine Stugart Roseberry | Catherine Joan Stugart | Catherine Stugart

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) - BD

Click below to view Catherine Roseberry's CRS (Customer Relationship Summary).
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

November 29, 2022 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701
BD
CRD#: 153502
New York, NY
Past

June 22, 2018 - December 6, 2022

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 13, 2015 - June 11, 2018

COHEN & STEERS SECURITIES, LLC

BD
CRD#: 29258
NEW YORK, NY
Past

August 28, 2014 - October 13, 2015

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA
CRD#: 110353
NEW YORK, NY
Past

July 16, 2014 - October 6, 2015

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

February 6, 2013 - July 18, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

February 6, 2013 - July 18, 2014

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

February 17, 2012 - January 23, 2013

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
ROSELAND, NJ
Past

June 3, 2011 - January 23, 2013

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
ROSELAND, NJ
Past

December 14, 2010 - May 20, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PARAMUS, NJ

State Registrations and Notice Filings

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

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
(4/24/2024)
RR
Alaska
(4/24/2024)
RR
Arizona
(4/24/2024)
RR
Arkansas
(4/24/2024)
RR
California
(4/24/2024)
RR
Colorado
(4/24/2024)
RR
Connecticut
(4/24/2024)
RR
Delaware
(4/24/2024)
RR
District of Columbia
(4/24/2024)
RR
Florida
(4/24/2024)
RR
Georgia
(4/24/2024)
RR
Hawaii
(4/24/2024)
RR
Idaho
(4/24/2024)
RR
Illinois
(4/24/2024)
RR
Indiana
(4/24/2024)
RR
Iowa
(4/24/2024)
RR
Kansas
(4/24/2024)
RR
Kentucky
(4/24/2024)
RR
Louisiana
(4/24/2024)
RR
Maine
(4/24/2024)
RR
Maryland
(4/24/2024)
RR
Massachusetts
(4/24/2024)
RR
Michigan
(4/24/2024)
RR
Minnesota
(4/24/2024)
RR
Mississippi
(4/24/2024)
RR
Missouri
(4/24/2024)
RR
Montana
(4/24/2024)
RR
Nebraska
(4/24/2024)
RR
Nevada
(4/24/2024)
RR
New Hampshire
(4/24/2024)
RR
New Jersey
(4/24/2024)
RR
New Mexico
(4/24/2024)
RR
New York
(11/29/2022)
RR
North Carolina
(4/24/2024)
RR
North Dakota
(4/24/2024)
RR
Ohio
(4/25/2024)
RR
Oklahoma
(4/24/2024)
RR
Oregon
(4/24/2024)
RR
Pennsylvania
(4/24/2024)
RR
Puerto Rico
(4/24/2024)
RR
Rhode Island
(4/24/2024)
RR
South Carolina
(4/24/2024)
RR
South Dakota
(4/24/2024)
RR
Tennessee
(4/24/2024)
RR
Texas
(4/24/2024)
RR
Utah
(4/24/2024)
RR
Vermont
(4/24/2024)
RR
Virgin Islands
(4/24/2024)
RR
Virginia
(4/24/2024)
RR
Washington
(4/24/2024)
RR
West Virginia
(4/24/2024)
RR
Wisconsin
(4/24/2024)
RR
Wyoming
(4/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

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

Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
CHATTERJEE, WHITNEY AMEMBER BOARD OFMANAGERS7874808
DRESCHER, STEPHANIEHEAD OF MARKETING3055145
LEVY, YAEL KENANCHIEF COMPLIANCE OFFICER4435788
NEEDLEMAN, ERIC DAVIDPRESIDENT2773431
TREBING, ADAM PCFO / FINOP / PFO / POO5828238
TREBING, ADAM PMEMBER BOARD OF MANAGERS5828238

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

APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502New York, NY 10019-2701

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