Kathryn Marie Cataldo

LPl Financial LLC

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-05-18

MA RA
APPROVED

Since 2021-05-18

Branch Locations

1 Mercantile St Ste 530, Worcester, MA 01608 • United States

1 Mercantile St Ste 530, Worcester, MA 01608 • United States

150A Andover St, Suite 8, Danvers, MA 01923 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Voya Financial Advisors	Worcester	MA	07/2016	05/2021
North Pointe Wealth Management	Worchester	MA	07/2016	Present
Lpl Financial, Llc	Worcester	MA	05/2021	Present

07/2016 → 05/2021

Voya Financial Advisors

Worcester, MA
07/2016 → Present

North Pointe Wealth Management

Worchester, MA
05/2021 → Present

Lpl Financial, Llc

Worcester, MA

Previous Registrations

2016-07-12 → 2021-05-19

Voya Financial Advisors, Inc.

Braintree, MA

Worcester, MA

Malden, MA

Danvers, MA
2009-12-09 → 2016-07-23

Investors Capital Corp.

Worcester, MA

Lynnfield, MA

Lynnfield, MA

Lynnfield, MA

Other Businesses

11/2009 - DBA for LPL Business (entity for LPL business) - North Pointe Wealth Management - Investment Related - 100% - Worcester, MA 01608

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-11

S66 Uniform Combined State Law Examination

2002-11-11

View on SEC IAPD

More in Worcester, MA

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