Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH JOHN CATERINA JR
JOSEPH JOHN CATERINA
CRD#: 1689800
IA
Investment Adviser
B
Broker
CAPITAL ANALYSTSCRD#: 162200 10000 Sagemore Dr.
Ste. 10201
Marlton, NJ 08053
LINCOLN INVESTMENTCRD#: 519 Kenilworth, NJ
Registration History
19952000200520102015202020252 FIRMS1997 - 1999 (2 years)2 FIRMS2007 - Present (17 years)IACAPITAL ANALYSTS (CRD# 162200)2014 - Present (11 years)BTFS SECURITIES, INC. (CRD# 20626)2006 - 2006 (<1 year)BCOMMERCE CAPITAL MARKETS, INC. (CRD# 6940)2004 - 2004 (<1 year)BEQUITY SERVICES, INC. (CRD# 265)1999 - 2002 (3 years)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)1995 - 1997 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1993 - 1993 (<1 year)
License(s)

State Registrations

B
California 10/26/2020
IA
New Jersey 4/11/2007
B
Delaware 1/3/2019
B
New York 4/11/2007
B
Florida 1/3/2019
B
Pennsylvania 1/3/2019
B
New Jersey 4/11/2007
B
Texas 10/26/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL ANALYSTS (CRD#:162200)
10000 Sagemore Dr. Ste. 10201, Marlton, NJ 08053
Registered with this firm since 3/11/2014
IA
LINCOLN INVESTMENT (CRD#:519)
Kenilworth, NJ
SUITE 10201 10000 SAGEMORE DRIVE, MARLTON, NJ 08053
Registered with this firm since 4/11/2007
B
LINCOLN INVESTMENT (CRD#:519)
Kenilworth, NJ
SUITE 10201 10000 SAGEMORE DRIVE, MARLTON, NJ 08053
Registered with this firm since 4/11/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/31/2006 - 11/01/2006 TFS SECURITIES, INC. (CRD#:20626) LINCROFT, NJ
B
 05/05/2004 - 09/21/2004 COMMERCE CAPITAL MARKETS, INC. (CRD#:6940) PHILADELPHIA, PA
B
 10/12/1999 - 12/06/2002 EQUITY SERVICES, INC. (CRD#:265) MONTPELIER, VT
B
 07/18/1997 - 10/11/1999 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 07/18/1997 - 10/11/1999 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 11/17/1995 - 06/06/1997 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
B
 09/20/1993 - 12/14/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.