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Detailed Report
Tod M. Cattani
TOD MICHAEL CATTANI
CRD#: 4275795
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 52 Eagle Wing Way
Garner, NC 27529
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2021 (7 years)2 FIRMS2022 - Present (3 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2004 - 2005 (<1 year)BWACHOVIA SECURITIES, INC. (CRD# 19616)2000 - 2002 (2 years)
License(s)

State Registrations

B
New York 4/11/2023
B
North Carolina 3/4/2022
IA
North Carolina 3/3/2022
B
Texas 5/13/2022

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
J.P. MORGAN SECURITIES LLC (CRD#:79)
52 Eagle Wing Way, Garner, NC 27529
Registered with this firm since 3/3/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
52 Eagle Wing Way, Garner, NC 27529
Registered with this firm since 3/4/2022
Previous Registration(s)
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IA
 05/29/2013 - 01/27/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GARNER, NC
B
 04/29/2013 - 01/27/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GARNER, NC
B
 08/11/2004 - 01/12/2005 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
B
 10/24/2000 - 10/03/2002 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
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.