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NC

Nicklaus J. Catone

MANNING & NAPIER INVESTOR SERVICES
Fairport, NY 14450
Some features on this profile are disabled
CRD#: 7950775
NC

Professional summary

Nicklaus Joseph Catone, who also goes by Nick Catone, is a registered financial professional currently at MANNING & NAPIER INVESTOR SERVICES, INC. located in Fairport, New York.

Nicklaus is registered as a RR (Registered Representative) and started their career in finance in 2024. Nicklaus has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Catone

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) - BD

Click below to view Nicklaus Joseph Catone'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

November 20, 2024 - Present

MANNING & NAPIER INVESTOR SERVICES, INC.

Office #1: 290 Woodcliff Drive, Fairport, NY 14450
BD
CRD#: 26266
Fairport, NY

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

General Industry/Product Exam
RR
Series 7TO
Date: 11/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/26/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MANNING & NAPIER INVESTOR SERVICES, INC.
FIDUCIARY BROKER SERVICES, INC. | MANNING & NAPIER INVESTOR SERVICES, INC. | MANNING & NAPIER CAPITAL ADVISORS

CRD#: 26266 / SEC#: , 8-42468

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

Main Address
290 Woodcliff Drive, Fairport, NY 14450
Mailing Address
290 Woodcliff Drive, Fairport, NY 14450
Phone number
(585) 325-6880
Established
New York since 03/21/1990
Firm type
Corporation
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#
MANNING & NAPIER GROUP, LLCOWNER
CRAIG, ELIZABETH KIMDIRECTOR5726029
CRAIG, ELIZABETH KIMCORPORATE SECRETARY5726029
LAREW, SAMANTHA MARIECHIEF COMPLIANCE OFFICER4928353
LINDENMUTH, VALERIE MAYDIRECTOR4572179
MORABITO, SCOTT JAMESPRESIDENT/ DIRECTOR6838712
MORABITO, SCOTT JAMESPRINCIPAL OPERATIONS OFFICER6838712
SERRA, CARL ANTHONY IIIPRINCIPAL FINANCIAL OFFICER3179039

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

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266Fairport, NY 14450

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