Thomas J. Catalano

HILTON HEAD WEALTH ADVISORS

Bluffton, SC

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CRD#: 6564541

Professional summary

Thomas J Catalano, CFP® is a registered financial advisor currently at HILTON HEAD WEALTH ADVISORS, LLC located in Bluffton, South Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Thomas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Thomas J Catalano'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

May 19, 2018 - Present

HILTON HEAD WEALTH ADVISORS, LLC

RIA

CRD#: 285945

Bluffton, SC

Past

January 24, 2017 - December 31, 2017

NMS CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 149678

Blufton, SC

Past

January 24, 2017 - December 31, 2017

HB SECURITIES, LLC

CRD#: 140356

NEWPORT BEACH, CA

Past

December 7, 2015 - January 7, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HILTON HEAD ISLAND, SC

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.

Highlighted states indicate IAR registrations

IAR

South Carolina
(5/19/2018)

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.

Exams

State Security Law Exam

Series 63

Date: 3/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2015

General Securities Representative Examination

Current Firm

HILTON HEAD WEALTH ADVISORS, LLC

CRD#: 285945 / SEC#:

South Carolina

Registered Investment Advisory firm - (5/19/2018 Approved)

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Contact information

Main Address

5 Palmetto Cove Court, Bluffton, SC 29910

Mailing Address

Phone number

(203) 482-0671

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 3,710,000

Red Flags

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

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Thomas J. Catalano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Catalano's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILTON HEAD WEALTH ADVISORS, LLC

NMS CAPITAL ASSET MANAGEMENT, INC.

HB SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/2017

SIE

Date: 12/31/2017

Series 7

Date: 12/7/2015

Current Firm

HILTON HEAD WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HILTON HEAD WEALTH ADVISORS, LLC

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