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Detailed Report
JOSEPH R CATALDO
BOB CATALDO, J.ROBERT CATALDO, JOSEPH ROBERT CATALDO
CRD#: 2105293
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2301 SE MONTEREY RD
STUART, FL 34996
Registration History
199019952000200520102015202020252 FIRMS1997 - 2007 (10 years)2 FIRMS2007 - Present (17 years)BJ. B. HANAUER & CO. (CRD# 6958)1990 - 1997 (6 years)
License(s)

State Registrations

B
Arizona 3/24/2009
B
Missouri 4/17/2014
B
California 9/7/2007
B
Nevada 2/11/2025
B
Colorado 9/7/2007
B
New Jersey 9/7/2007
B
Connecticut 9/7/2007
B
New York 9/7/2007
B
Delaware 5/9/2019
B
North Carolina 9/7/2007
B
District of Columbia 9/7/2007
B
Ohio 1/11/2021
B
Florida 9/7/2007
B
Pennsylvania 9/7/2007
IA
Florida 1/10/2008
IA
Pennsylvania 8/22/2017
B
Georgia 9/7/2007
B
South Carolina 7/22/2016
B
Illinois 9/7/2007
B
Tennessee 6/13/2016
B
Kentucky 9/7/2007
IA
Texas 9/7/2007
B
Maryland 9/7/2007
B
Texas 12/2/2013
B
Massachusetts 9/7/2007
B
Vermont 9/7/2007
B
Michigan 9/7/2007
B
Virginia 9/7/2007
B
Minnesota 6/11/2020
B
Washington 1/7/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2301 SE MONTEREY RD, STUART, FL 34996
Registered with this firm since 9/7/2007
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2301 SE MONTEREY RD, STUART, FL 34996
Registered with this firm since 9/7/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/02/1997 - 09/18/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) STUART, FL
B
 09/02/1997 - 09/18/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) STUART, FL
B
 11/07/1990 - 09/17/1997 J. B. HANAUER & CO. (CRD#:6958) PARSIPPANY, NJ
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.