Douglas N. Cataldo

CATALYST CAPITAL ADVISORS LLC

New York, NY 10017

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CRD#: 6359011

Professional summary

Douglas Nils-jorgen Cataldo, who also goes by Doug Nils-jorgen Cataldo, Douglas Nils-jorgen Cataldo, Douglas Cataldo, is a registered financial advisor currently at CATALYST CAPITAL ADVISORS LLC located in New York, New York and ALT FUND DISTRIBUTORS LLC located in New York, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Douglas has worked at 9 firms and has passed the Series 63, Series 65, Series 6TO, Series 22TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Nils-Jorgen Cataldo | Douglas Nils-Jorgen Cataldo | Douglas Cataldo

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) - RIA

Click below to view Douglas Nils-jorgen Cataldo'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®

None

Experience

Current

January 5, 2025 - Present

CATALYST CAPITAL ADVISORS LLC

Office #1: 140 E 45th Street, New York, NY 10017

RIA

CRD#: 139895

New York, NY

Current

December 6, 2024 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017

CRD#: 146547

New York, NY

Past

February 23, 2024 - September 4, 2024

DCMB SECURITIES LLC

CRD#: 146578

HOUSTON, TX

Past

March 19, 2018 - September 6, 2023

SL ADVISORS, LLC

RIA

CRD#: 151495

WESTFIELD, NJ

Past

September 11, 2017 - March 1, 2018

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

BOSTON, MA

Past

May 8, 2017 - August 25, 2017

ONE CHARLES PRIVATE WEALTH

RIA

CRD#: 286635

HINGHAM, MA

Past

April 10, 2017 - August 25, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Hingham, MA

Past

December 12, 2016 - January 24, 2017

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

Andover, MA

Past

August 1, 2014 - January 24, 2017

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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".

CATALYST CAPITAL ADVISORS LLC

CRD#: 139895 / SEC#: 801-66886

RIA

Registered Investment Advisory firm - (6/9/2006 Approved)

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.

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

New York
(12/10/2024)

IAR

New York
(1/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/11/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/2/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/3/2025

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 2/16/2024

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 3/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/1/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CATALYST CAPITAL ADVISORS LLC

CRD#: 139895 / SEC#: 801-66886

RIA

Registered Investment Advisory firm - (6/9/2006 Approved)

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Contact information

Main Address

207 Calle De Parque Floor 7, Suite 2, San Juan, PR 00912

Mailing Address

Phone number

(646) 757-8387

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 10,130,157,646

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Douglas N. Cataldo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Nils-jorgen Cataldo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALT FUND DISTRIBUTORS LLC

DCMB SECURITIES LLC

SL ADVISORS, LLC

HARBOR FUNDS DISTRIBUTORS, INC.

ONE CHARLES PRIVATE WEALTH

PURSHE KAPLAN STERLING INVESTMENTS

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

CATALYST CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2024

Series 65

Date: 12/2/2016

Series 6TO

Date: 1/3/2025

Series 22TO

Date: 2/16/2024

SIE

Date: 3/1/2018

Series 7

Date: 11/23/2015

Series 6

Date: 8/1/2014

FINRA

Current Firm

CATALYST CAPITAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

CATALYST CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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