John G Cataldo, Esq.

President - Advisory Services, Chief Legal Officer

I support our growth by managing day-to-day operations and providing oversight of Integrated Wealth Concepts (IWC), our independent RIA. I also monitor activities as it relates to the SEC, FINRA and our Representatives.

As Chief Legal Officer, I provide regulatory affairs oversight, legal advice and support for IFP and its advisors. This includes drafting contracts, managing litigations, assisting with estate planning and acting as a general legal counsel for the firm.

Our success allows me to continually add value. During a meeting with a CPA firm that we were trying to recruit, we identified how their former partner was not compliant and putting them in danger. We demonstrated how we would remedy their situation. This showed our tremendous thought leadership and our commitment to providing the best service in all interactions.

My professional background includes serving as a prosecutor in the Massachusetts Security Division. I have 15 years of experience advising firms and advisors on policies and business operations. As a former executive of a publicly traded RIA, I maintained strong relationships with the Financial Services Institute. I was recognized in 2014 as one of the top chief compliance officers in the country.* I still maintain a law practice assisting advisors with estate planning and providing advice and consulting services on complex cases.

Rounding out my life finds me continuing old family traditions. I make my own cheese, wine and sauce from fresh tomatoes. I thoroughly enjoy sharing these with friends and family.


Great things in business are never done by one person. They’re done by a team of people. – Steve Jobs


*24 key categories are considered including; experience, board member appointments, professional achievements, published articles, technology adoption, education, professional reputation, peer recommendations and nominations.

Integrated Financial Partners and LPL Financial do not provide legal advice or services.

Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Integrated Wealth Concepts, a registered investment advisor. Integrated Wealth Concepts and Integrated Financial Partners are separate entities from LPL Financial. The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, ID, IL, IN, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WI, WV, WY

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