Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Richard Cattau has been in the securities industry since July 1, 1999. John is currently a registered representative with The Silverfern Group, Inc. John is Series 7, Series 24, Series 63, Series 79, and Series 99TO licensed and holds the SIE designation. John has a total of 15 active state registrations in California, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington.
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.
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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2
CT
06/07/2002 - Present
THE Silverfern Group, Inc. (Greenwich CT)
MN
08/14/1997 - 07/19/2000
AMERICAN EXPRESS SERVICE CORPORATION (MINNEAPOLIS MN)
BC
Issued 03/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/22/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/13/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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