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Kieran Douglas Caterina

GABELLI FUNDS, LLC·RYE, New York
SIE, Series 99Clean recordGABELLI FUNDS, LLC
ONE CORPORATE CENTER, RYE, NY 10580-1422CRD# 3049042Firm CRD# 104949

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Kieran Douglas Caterina · RYE, NY
Registration
CRD #3049042 · GABELLI FUNDS, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 99
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
GABELLI FUNDS, LLC
CRD 104949 · SEC 801-37706
AUM
$21.0B
Regulatory assets under management
Employees
58
48 client accounts
Services offered by GABELLI FUNDS, LLC
Per Form ADV
Portfolio management (pooled investments)
Pension consulting
Client types served by the firm
Per Form ADV
Institutional Investors
Pension & Retirement Plans
View all advisors at GABELLI FUNDS, LLC →
Introduction

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Frequently Asked Questions

What services does Kieran Douglas Caterina offer?
Kieran Douglas Caterina specializes in Investment Management, Retirement Planning. Contact their office in RYE, New York for a consultation.
What are Kieran Douglas Caterina's credentials?
Kieran Douglas Caterina is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Kieran Douglas Caterina located?
Kieran Douglas Caterina is based in RYE, New York, working with GABELLI FUNDS, LLC. Their office serves clients in the RYE metropolitan area and surrounding communities.
How does Kieran Douglas Caterina charge for services?
Kieran Douglas Caterina's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is GABELLI FUNDS, LLC?
GABELLI FUNDS, LLC has approximately 58 employees and manages $21.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at GABELLI FUNDS, LLC

Richard John Walz
RYE, NY
Diane Marie Lapointe
RYE, NY
John Chester Ball
RYE, NY
Agnes Nora Mullady
RYE, NY
Bruce N Alpert
RYE, NY
Peter D Goldstein
RYE, NY

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