Louis Cattaruzza
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.
Louis Cattaruzza was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1981. Louis had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1995 - December 12, 1995
CASTLE SECURITIES CORP.
March 16, 1993 - December 8, 1994
G.R. STUART & COMPANY, INC.
February 10, 1993 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
May 7, 1991 - January 26, 1993
FIRST AFFILIATED SECURITIES
May 2, 1983 - April 23, 1991
DOUGLAS BREMEN & CO., INC.
November 5, 1981 - June 14, 1983
SHERMAN, FITZPATRICK & CO., INC.
February 23, 1981 - October 14, 1983
BLINDER, ROBINSON & CO., INC.
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
CASTLE SECURITIES CORP.
CRD#: 16077 / SEC#: , 8-34049
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
