Catherine J. Oliver-allen

INVICTA ADVISORS LLC

Basalt, CO

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CRD#: 1216000

Professional summary

Catherine Joyce Oliver-allen, who also goes by Catherine Joyce Allen, Catherine Joyce Oliver, Catherine Joyce Oliverallen, is a registered financial advisor currently at INVICTA ADVISORS LLC located in Basalt, Colorado and INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Catherine has worked at 18 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Joyce Allen | Catherine Joyce Oliver | Catherine Joyce Oliverallen

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.

Relentless Ranch, non-investment related, 160 Spring Creek Road Basalt, CO 81621, raise and train service dogs, owner, appx. 20 hours a week during trading hours. Duties include: care and training of animals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Joyce Oliver-allen's CRS (Customer Relationship Summary).

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

October 31, 2019 - Present

INVICTA ADVISORS LLC

RIA

CRD#: 298868

Basalt, CO

Current

November 2, 2019 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139

CRD#: 288101

OAKMONT, PA

Past

September 17, 2019 - November 1, 2019

BRYAN ADVISORY SERVICES, LLC

RIA

CRD#: 153659

Basalt, CO

Past

October 10, 2013 - June 1, 2015

BRYAN ADVISORY SERVICES, LLC

RIA

CRD#: 153659

ALAMO, CA

Past

June 28, 2013 - July 24, 2013

SEACREST WEALTH MANAGEMENT, LLC

RIA

CRD#: 147092

PURCHASE, NY

Past

June 20, 2013 - November 1, 2019

BRYAN FUNDING, INC.

CRD#: 11899

CANONSBURG, PA

Past

July 2, 2012 - March 21, 2013

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

November 25, 2009 - July 2, 2012

GREAT CIRCLE FINANCIAL

CRD#: 8658

RENO, NV

Past

February 29, 2008 - January 27, 2009

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 14, 2006 - March 11, 2008

INTEGRITY FUNDS DISTRIBUTOR, LLC

CRD#: 26293

MINOT, ND

Past

February 4, 2005 - December 14, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ALAMO, CA

Past

April 17, 2002 - April 30, 2003

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

January 18, 2001 - February 1, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

June 2, 2000 - October 30, 2000

MONUMENT DISTRIBUTORS, INC.

CRD#: 43917

KENSINGTON, MD

Past

May 5, 1997 - October 12, 1998

KELMOORE INVESTMENT COMPANY, INC.

CRD#: 22509

PALO ALTO, CA

Past

August 24, 1988 - April 22, 1997

EQUITY PROGRAMS CORPORATION

CRD#: 6100

SAN DIEGO, CA

Past

April 29, 1987 - October 1, 1987

IRONWOOD SECURITIES, INC.

CRD#: 13543

Past

July 25, 1985 - November 5, 1985

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

Past

July 6, 1984 - December 28, 1984

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(11/2/2019)

Colorado
(11/2/2019)

IAR

Pennsylvania
(10/31/2019)

Pennsylvania
(11/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

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Contact information

Main Address

527 Cedar Way Suite 101, Oakmont, PA 15139

Mailing Address

Phone number

(412) 349-8684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 183,496,330

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.

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Advisor Monitoring

Firm Stability Insights

Catherine J. Oliver-allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Joyce Oliver-allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVICTA CAPITAL LLC

BRYAN ADVISORY SERVICES, LLC

BRYAN ADVISORY SERVICES, LLC

SEACREST WEALTH MANAGEMENT, LLC

BRYAN FUNDING, INC.

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

GREAT CIRCLE FINANCIAL

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

INTEGRITY FUNDS DISTRIBUTOR, LLC

VOYA FINANCIAL ADVISORS, INC.

TOUCHSTONE SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

MONUMENT DISTRIBUTORS, INC.

KELMOORE INVESTMENT COMPANY, INC.

EQUITY PROGRAMS CORPORATION

IRONWOOD SECURITIES, INC.

INVESTORS BROKERAGE SERVICES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INVICTA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

FINRA

Current Firm

INVICTA ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVICTA ADVISORS LLC

TRUST BUT VERIFY

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