Dax Anthony Cata
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.
Dax Anthony Cata, who also goes by Dax Anthony Cata, Tony Cata, Tony Cata, was a registered financial professional .
Dax Anthony is a previously registered financial professional and started their career in finance in 2015. Dax Anthony had worked at 5 firms and has passed the Series 65, Series 63, 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
February 26, 2018 - August 24, 2018
FIRST COMMAND ADVISORY SERVICES
February 20, 2018 - August 24, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
November 16, 2016 - September 5, 2017
NYLIFE SECURITIES LLC
June 24, 2016 - August 18, 2016
LPL FINANCIAL LLC
January 4, 2016 - August 18, 2016
LPL FINANCIAL LLC
August 10, 2015 - December 8, 2015
GARDEN STATE SECURITIES, INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
