Anthony J. Catapano
Professional summary
Anthony James Catapano, who also goes by Anthony J Catapano Jr, Anthony J Catapano, Anthony James Catapano Jr, Anthony James Catapano, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Huntington Station, New York and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Anthony has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Anthony James Catapano's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
April 4, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111January 25, 2023 - March 8, 2024
J.P. MORGAN SECURITIES LLC
January 19, 2023 - March 8, 2024
J.P. MORGAN SECURITIES LLC
February 26, 2021 - May 26, 2022
EDWARD JONES
February 26, 2021 - May 26, 2022
EDWARD JONES
December 26, 2018 - November 10, 2020
HARRISDIRECT LLC
December 20, 2018 - November 10, 2020
E*TRADE SECURITIES LLC
May 31, 2017 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 26, 2017 - December 10, 2018
TD AMERITRADE, INC.
March 1, 2017 - December 10, 2018
TD AMERITRADE, INC.
October 29, 2014 - July 21, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 3, 2014 - August 25, 2014
AEGIS CAPITAL CORP.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
