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Kieran Caterina

Chief Accounting Officer at Gabelli Funds

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Kieran Caterina is Chief Accounting Officer of Gabelli Funds, LLC, a Rye investment adviser managing $24.6B. Kieran Caterina has a current broker registration and no current investment-adviser registration and has passed the Series 99 and SIE.

Role at Gabelli Funds

Title on Schedule A
Chief Accounting Officer
Control
Kieran Caterina is a control person of Gabelli Funds.
Ownership
An individual ownership band is not available in the source record.
Tenure
Kieran Caterina has held the filed role since March 2012.

The firm

Gabelli Funds, LLC
Rye, NY

Form ADV filed 14 July 2026

$24.6B AUM33 clients47 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 99 · 2012

Registrations and exams

Broker registration; no current adviser registration. Kieran Caterina has passed 2 qualifying exams.

Examinations

SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9913 September 2012
Name
Operations Professional Examination

Individual record

Full name
Kieran Douglas Caterina
CRD
3049042
Firm
Gabelli Funds, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Kieran Caterina work?

Kieran Caterina has been Chief Accounting Officer of Gabelli Funds, LLC since March 2012, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 July 2026

Does Kieran Caterina have a current investment-adviser registration?

Kieran Caterina has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Kieran Caterina passed?

Kieran Caterina has passed 2 licensing exams: the Series 99 and SIE. The earliest, the Series 99, was passed in September 2012.

Source: IAPD individual record, checked 17 October 2026

Leadership at Gabelli Funds

  • John Ball
    Senior Vice President, Fund Administration
  • David Goldman
    Vice President, Corporate Development
  • Richard Walz
    Chief Compliance Officer
  • Mario Gabelli
    Chief Investment Officer

Sources

  1. IAPD individual record, CRD 3049042. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Gabelli Funds, LLC, filed 14 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Kieran Caterina or Gabelli Funds, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.