• 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.
KATHY CATENA
KATHLEEN A CATENA, KATHLEEN ANN CATENA, KATHLEEN ANNE CATENA, KATHLEEN A GERDES
CRD#: 2226684
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 575 Washington Blvd
Floor 9 & 10
Jersey City, NJ 07310
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2013 - Present (11 years)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)2005 - 2013 (8 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2005 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2005 (2 years)
License(s)

State Registrations

B
Alabama 5/6/2020

B
Nebraska 5/6/2020

B
Alaska 5/6/2020

B
Nevada 5/6/2020

B
Arizona 5/6/2020

B
New Hampshire 5/6/2020

B
Arkansas 5/6/2020

B
New Jersey 10/7/2013

B
California 5/6/2020

IA
New Jersey 11/25/2013

B
Colorado 5/6/2020

B
New Mexico 5/6/2020

B
Connecticut 5/6/2020

B
New York 11/22/2013

B
Delaware 5/6/2020

B
North Carolina 5/6/2020

B
District of Columbia 5/6/2020

B
North Dakota 5/6/2020

B
Florida 5/6/2020

B
Ohio 5/7/2020

B
Georgia 5/6/2020

B
Oklahoma 5/6/2020

B
Hawaii 5/6/2020

B
Oregon 5/6/2020

B
Idaho 5/6/2020

B
Pennsylvania 5/6/2020

B
Illinois 5/6/2020

B
Puerto Rico 5/6/2020

B
Indiana 5/6/2020

B
Rhode Island 5/6/2020

B
Iowa 5/6/2020

B
South Carolina 5/6/2020

B
Kansas 5/6/2020

B
South Dakota 5/6/2020

B
Kentucky 5/6/2020

B
Tennessee 5/6/2020

B
Louisiana 5/6/2020

B
Texas 5/6/2020

B
Maine 5/6/2020

B
Utah 5/6/2020

B
Maryland 5/6/2020

B
Vermont 5/6/2020

B
Massachusetts 5/6/2020

B
Virgin Islands 5/6/2020

B
Michigan 5/6/2020

B
Virginia 5/6/2020

B
Minnesota 5/6/2020

B
Washington 5/6/2020

B
Mississippi 5/6/2020

B
West Virginia 5/6/2020

B
Missouri 5/6/2020

B
Wisconsin 5/6/2020

B
Montana 5/6/2020

B
Wyoming 5/6/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

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
J.P. MORGAN SECURITIES LLC (CRD#:79)
575 Washington Blvd Floor 9 & 10, Jersey City, NJ 07310
Bridgewate, NJ
Registered with this firm since 11/25/2013

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
575 Washington Blvd Floor 9 & 10, Jersey City, NJ 07310
Bridgewate, NJ
Registered with this firm since 9/26/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/18/2005 - 07/15/2013 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) NEWARK, NJ
IA
05/07/2002 - 01/14/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
12/12/2001 - 01/14/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.