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Henrique Cataldi

MAIN STREET RESEARCH
LAKEVILLE, CT 06039
Some features on this profile are disabled
CRD#: 6869169
HC

Professional summary

Henrique Cataldi, who also goes by Henrique Oliveira Cataldi, Rick Cataldi, Ricky Cataldi, is a registered financial advisor currently at MAIN STREET RESEARCH LLC located in Lakeville, Connecticut.

Henrique is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Henrique has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Henrique Oliveira Cataldi | Rick Cataldi | Ricky Cataldi

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 Henrique Cataldi'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

April 8, 2022 - Present

MAIN STREET RESEARCH LLC

Office #1: 342 Main Street, Lakeville, CT 06039
RIA
CRD#: 114629
LAKEVILLE, CT
Past

April 9, 2019 - December 11, 2020

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Corte Madera, CA
Past

April 8, 2019 - December 11, 2020

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Corte Madera, CA
Past

August 13, 2018 - March 19, 2019

EDWARD JONES

RIA
CRD#: 250
PETALUMA, CA
Past

August 13, 2018 - March 19, 2019

EDWARD JONES

BD
CRD#: 250
PETALUMA, CA
Past

May 25, 2018 - July 30, 2018

EQIS SECURITIES, LLC

BD
CRD#: 20633
SAN RAFAEL, CA
Past

November 21, 2017 - July 30, 2018

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
SAN RAFAEL, CA

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".
MS
MAIN STREET RESEARCH LLC
MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA
Registered Investment Advisory firm - (11/14/2000 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.

Highlighted states indicate IAR registrations

IAR
California
(4/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/21/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2018
General Securities Representative Examination

Current Firm

MS
MAIN STREET RESEARCH LLC
MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA
Registered Investment Advisory firm - (11/14/2000 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
342 Main Street, Lakeville, CT 06039
Mailing Address
30 Liberty Ship Way Third Floor, Sausalito, CA 94965
Phone number
(860) 435-2350
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts2,782
AUM (Assets Under Management)$ 2,384,657,948

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

MAIN STREET RESEARCH LLC

CRD#: 114629Lakeville, CT 06039

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