TrueAdvisor
TrueAdvisor
CP
CP

Cataldo Panici

LPL Financial LLC
33 Years of Experience
Frankfort, IL
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Cataldo Panici is a registered investment advisor at LPL Financial LLC, based in Frankfort, IL, with 33 years of industry experience. Cataldo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

20901 S. Lagrange Road, Frankfort, IL, 60423

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2025
Settled
Customer Dispute
January 2024
Closed-No Action
Customer Dispute
May 2020
Settled
Customer Dispute
November 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Cataldo is involved with non-variable insurance through Wintrust Wealth Management since 2009. This activity, which is investment-related, takes nearly full-time hours.

Employment History
Current Registrations
LPL Financial LLCBroker
January 2025 - Present · 1 yr 9 mos
LPL Financial LLC
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Wintrust Investments
July 2009 - January 2025 · 15 yrs 6 mos
Wintrust Investments LLCBroker
July 2009 - January 2025 · 15 yrs 6 mos
Banc of America Investment Services, INC.Broker
October 2008 - July 2009 · 9 mos
Banc of America Investment Services, INC.
October 2008 - July 2009 · 9 mos
Lasalle Financial Services, INC.
October 2001 - October 2008 · 7 yrs
Lasalle Financial Services, INC.Broker
October 2000 - October 2008 · 8 yrs
Harris InvestorlineBroker
April 2000 - September 2000 · 5 mos
Ameritas Investment CORP.Broker
August 1999 - October 2000 · 1 yr 2 mos
Harris Investors Direct, INC.Broker
August 1999 - April 2000 · 8 mos
Citicorp Investment ServicesBroker
December 1998 - September 1999 · 9 mos
Ascend Financial Services, INC.Broker
June 1993 - January 1999 · 5 yrs 7 mos
Nylife Securities INC.Broker
February 1993 - June 1993 · 4 mos
State Registrations27 states
ARAZCACOFLGAIAIDILINKSKYMIMNMONCNMNVNYOHSCSDTNTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Frankfort, IL →All financial advisors in Illinois →