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Caterina Maria Defalco

Advisory Services Network

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About Caterina Maria Defalco

Caterina Defalco is a financial advisor with Advisory Services Network, based in Troy, Michigan. Caterina has been in the financial industry since 1992 and holds the Series 6, Series 7, and Series 63 licenses. Caterina is a Certified Financial Planner and specializes in providing financial planning, selection of other advisors, and portfolio management for individuals.

Firm Information

Caterina Defalco is currently registered with Advisory Services Network. Advisory Services Network is a financial advisory firm headquartered in Atlanta, GA. The firm provides a range of financial services including financial planning, portfolio management for individuals, and selection of other advisors. The firm manages approximately $6.8 billion in assets for a diverse clientele including high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations, and individuals. The firm employs 86 licensed agents, 206 investment advisor representatives, and 14 registered representatives.
Advisory Services Network

6600 PEACHTREE DUNWOODY RD.

ATLANTA, GA 30328

$6.82B

Assets Under Management

44

Total Clients

213

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Caterina Defalco’s Registration & Firm History

MI

04/04/2012 - Present

Advisory Services Network (Troy MI)

MI

11/12/2010 - 04/02/2012

WUNDERLICH SECURITIES, INC. (LIVONIA MI)

MI

04/28/1995 - 11/11/2010

SIGMA FINANCIAL CORPORATION (NOVI MI)

MA

12/21/1992 - 05/09/1995

JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)

MA

12/21/1992 - 05/09/1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)

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Licenses & Designations

BC

Issued 01/11/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/2007

Series 7 - General Securities Representative Examination

BC

Issued 12/16/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Caterina Maria Defalco.
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