Henrique Cataldi

MAIN STREET RESEARCH LLC

LAKEVILLE, CT 06039

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CRD#: 6869169

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.

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

CRD#: 250

PETALUMA, CA

Past

May 25, 2018 - July 30, 2018

EQIS SECURITIES, LLC

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".

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)

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: 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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2018

General Securities Representative Examination

Current Firm

MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA

Registered Investment Advisory firm - (11/14/2000 Approved)

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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

SEC notice filing (42 States and Territories)

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 Accounts	2,782
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.

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Advisor Monitoring

Firm Stability Insights

Henrique Cataldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henrique Cataldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

EDWARD JONES

EQIS SECURITIES, LLC

FREEDOM INVESTMENT MANAGEMENT, INC.

Primary Firm SEC Registration

MAIN STREET RESEARCH LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/22/2018

Series 65

Date: 11/21/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2018

Current Firm

MAIN STREET RESEARCH LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIN STREET RESEARCH LLC

TRUST BUT VERIFY

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