Catherine A. Maniscalco Avery

CAIM LLC

Longboat Key, FL 34228

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CRD#: 1427402

Professional summary

Catherine Angela Maniscalco Avery, who also goes by Catherine Angela Avery, Catherine Maniscalco Avery, Catherine A Maniscalco, Catherine Angela Maniscalco, Cathy Maniscalco, is a registered financial advisor currently at CAIM LLC located in Longboat Key, Florida.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Catherine has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Angela Avery | Catherine Maniscalco Avery | Catherine A Maniscalco | Catherine Angela Maniscalco | Cathy Maniscalco

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Angela Maniscalco Avery'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

January 3, 2020 - Present

CAIM LLC

Office #1: 595 Bay Isles Road Suite 210, Longboat Key, FL 34228

RIA

CRD#: 144946

Longboat Key, FL

Past

April 23, 2009 - February 28, 2019

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

NEW CANAAN, CT

Past

September 27, 2007 - December 31, 2019

CAIM LLC

RIA

CRD#: 144946

GREENWICH, CT

Past

August 16, 2007 - October 1, 2009

FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES

RIA

CRD#: 109022

CHESTER, NJ

Past

May 25, 2006 - May 1, 2009

FELDSTEIN FINANCIAL GROUP, LLC

CRD#: 113988

CHESTER, NJ

Past

April 14, 2005 - February 13, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

NEW YORK, NY

Past

March 18, 2004 - February 13, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

May 10, 1995 - October 16, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 9, 1990 - March 2, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 14, 1988 - August 3, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 19, 1986 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

CAIM LLC

CAIM LLC | CATHERINE AVERY INVESTMENT MANAGEMENT LLC

CRD#: 144946 / SEC#: 801-110097

RIA

Registered Investment Advisory firm - (3/6/2017 Approved)

Connecticut

Registered Investment Advisory firm - (3/9/2017 Terminated)

Florida

Registered Investment Advisory firm - (3/9/2017 Terminated)

New York

Registered Investment Advisory firm - (3/9/2017 Terminated)

Utah

Registered Investment Advisory firm - (1/25/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/3/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Current Firm

CAIM LLC

CAIM LLC | CATHERINE AVERY INVESTMENT MANAGEMENT LLC

CRD#: 144946 / SEC#: 801-110097

RIA

Registered Investment Advisory firm - (3/6/2017 Approved)

Connecticut

Registered Investment Advisory firm - (3/9/2017 Terminated)

Florida

Registered Investment Advisory firm - (3/9/2017 Terminated)

New York

Registered Investment Advisory firm - (3/9/2017 Terminated)

Utah

Registered Investment Advisory firm - (1/25/2010 Terminated)

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Contact information

Main Address

595 Bay Isles Road Suite 210, Longboat Key, FL 34228

Mailing Address

Phone number

(941) 388-7249

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAIM LLC PART 2A (8/18/2025)

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 178,880,000

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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Firm Stability Insights

Catherine A. Maniscalco Avery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Angela Maniscalco Avery's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHTOWER ADVISORS, LLC

CAIM LLC

FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES

FELDSTEIN FINANCIAL GROUP, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

CAIM LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2005

Series 63

Date: 4/7/1986

Series 7

Date: 2/15/1986

Current Firm

CAIM LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAIM LLC

TRUST BUT VERIFY

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