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THOMAS DANIEL CATANESE
Thomas Catanese
CRD#: 3054899
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
PBIG - SAN FRANCISCO
SAN FRANCISCO, CA 94104
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2017 (4 years)BJ.P. MORGAN INSTITUTIONAL INVE... (CRD# 102920)2011 - 2013 (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2005 - 2011 (5 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1998 - 1999 (<1 year)
License(s)

State Registrations

B
Arizona 4/5/2019

B
New Jersey 11/29/2021

B
California 8/16/2017

B
New Mexico 2/9/2023

IA
California 10/13/2017

B
New York 5/28/2019

B
Connecticut 9/28/2020

B
Oregon 8/16/2017

B
Delaware 8/16/2017

B
Pennsylvania 6/8/2023

B
Florida 9/9/2019

B
Puerto Rico 10/17/2022

B
Georgia 7/25/2024

B
South Carolina 10/2/2024

B
Hawaii 11/14/2018

B
South Dakota 6/23/2023

B
Indiana 1/24/2023

IA
Texas 8/30/2017

B
Maryland 1/6/2025

B
Texas 12/4/2020

B
Massachusetts 4/3/2018

B
Utah 4/5/2021

B
Michigan 5/6/2020

B
Virginia 12/20/2024

B
Minnesota 5/8/2024

B
Washington 8/16/2017

B
Missouri 10/14/2021

B
Wyoming 8/16/2022

B
Nevada 8/16/2017

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

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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)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
TIBURON, CA
Registered with this firm since 8/30/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
TIBURON, CA
Registered with this firm since 8/16/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/14/2013 - 08/16/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN FRANCISCO, CA
B
03/07/2011 - 08/12/2013 J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (CRD#:102920) SAN FRANCISCO, CA
B
05/26/2005 - 03/11/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN DIEGO, CA
B
12/03/1998 - 07/14/1999 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
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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.