James P. Catapano
Professional summary
James Patrick Catapano is a registered financial professional currently at BA SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2024. James has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Catapano's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2024 - Present
BA SECURITIES, LLC
Office #1: 300 Park Avenue 16th Floor, New York, NY, 10022State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/22/2025)
(1/22/2025)
(1/22/2025)
Exams
Series 7TO
Date: 12/10/2024
General Securities Representative ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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