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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Cataldo has been in the financial industry since November 6, 1990. Joseph is currently registered as an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Stuart, Florida. Joseph was previously registered with CITIGROUP GLOBAL MARKETS INC. and J. B. HANAUER & CO.. Joseph has passed the Series 7, Series 63, Series 8, Series 9, Series 10, and Series 65 exams. Joseph is also registered as an investment advisor representative in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington. Joseph is a licensed owner of L'ECOLE DU VIN, a wine education business. In addition to providing investment advice, Joseph also provides educational wine seminars.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
09/07/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
09/02/1997 - 09/18/2007
CITIGROUP GLOBAL MARKETS INC. (STUART FL)
NJ
11/07/1990 - 09/17/1997
J. B. HANAUER & CO. (PARSIPPANY NJ)
IA
Issued 1/4/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/5/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/6/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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