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Catherine Caniglia

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CRD#: 7236611
CC

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.

Catherine Caniglia was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 2020. Catherine had worked at 1 firm and has passed the Series 63, SIE and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 30, 2020 - March 8, 2023

ARIEL DISTRIBUTORS, LLC

BD
CRD#: 38333
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/30/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/19/2020
General Securities Representative Examination

Current Firm

AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC

CRD#: 38333 / SEC#: , 8-48238

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARIEL INVESTMENTS HOLDING COMPANY, LLCSOLE UNITHOLDER
CALDERON, CARLOS ESTUARDOSENIOR VICE PRESIDENT, FINANCE6864114
CAMPBELL, ROBERT NMNFINOP, PFO, POO1349154
FOX, WENDY DEVORAHSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4870574
ORLOWSKI, BONNIE ELIZABETHPRESIDENT, CHAIRMAN, MANAGER3121598
RODRIGUEZ-AYALA, EMMA LEONOREXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER6183654
WEBER, ROOPA PATELSENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS3026056

Disclosures

Regulatory Event1

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

ARIEL DISTRIBUTORS, LLC

CRD#: 38333

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