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NC

Neil M. Catania

KLEON FINANCIAL
NEW YORK, NY 10038
Some features on this profile are disabled
CRD#: 2719448
NC

Professional summary

Neil Michael Catania is a registered financial professional currently at KLEON FINANCIAL, LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1998. Neil has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7B, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil Michael Catania's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 9, 2025 - Present

KLEON FINANCIAL, LLC

Office #1: C/o Accounting & Compliance International 199 Water St. 9th Fl, New York, NY, 10038
BD
CRD#: 121537
NEW YORK, NY
Past

February 6, 2013 - April 23, 2025

TJM INVESTMENTS, LLC

BD
CRD#: 46300
NEW YORK, NY
Past

August 6, 2004 - July 26, 2013

MND PARTNERS, INC.

BD
CRD#: 131833
NEW YORK, NY
Past

April 8, 2004 - August 6, 2004

CATANIA, NEIL MICHAEL

BD
CRD#: 131133
NEW YORK, NY
Past

April 1, 2004 - July 6, 2005

Z&Z SECURITIES INC.

BD
CRD#: 44377
NEW YORK, NY
Past

November 17, 1998 - June 3, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

October 1, 1998 - April 12, 2004

VDM INSTITUTIONAL BROKERAGE, LLC

BD
CRD#: 39022
NEW YORK, NY
Past

May 14, 1998 - September 11, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/9/2025)
RR
Connecticut
(4/9/2025)
RR
Louisiana
(4/9/2025)
RR
New York
(4/9/2025)
RR
North Carolina
(4/9/2025)
RR
Virginia
(4/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/1/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7B
Date: 10/1/2000
Floor Broker Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm

KF
KLEON FINANCIAL, LLC
KLEON FINANCIAL, LLC | SOJOURNER SECURITIES, LLC

CRD#: 121537 / SEC#: , 8-65423

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
C/o Accounting & Compliance International 199 Water St. 9th Fl, New York, NY, 10038
Mailing Address
C/o Accounting & Compliance International 199 Water St. 9th Fl, New York, NY, 10038
Phone number
(212) 306-1010
Established
North Carolina since 02/28/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KLEON FINANCIAL HOLDINGS, INC.HOLDING COMPANY
CATANIA, NEIL MICHAELCHIEF EXECUTIVE OFFICER2719448
CLARKE, RICARDO CONSTANTINEFINOP/PFO/POO6253240
SMYTH, MICHAEL FRANCISCHIEF COMPLIANCE OFFICER1871779

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

KLEON FINANCIAL, LLC

CRD#: 121537New York, NY 10038

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