CS
Catherine L. Scrivano
CETERA INVESTMENT ADVISERS LLC
PHOENIX, AZ
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CRD#: 1621313
CS
Professional summary
Catherine Lee Scrivano, AIF®, who also goes by Catherine Lee Scrivanocostello, Cathy Scrivanocostello, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Catherine has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Lee Scrivanocostello | Cathy Scrivanocostello
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.
1. NAME OF OTHER BUSINESS: CASCO FINANCIAL GROUP, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2013 POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: MEET INVESTMENT CLIENTS, SIGN & PAY EXPENSES 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 1989, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; 3. NAME OF OTHER BUSINESS: SIFMA FOUNDATION INVESTMENT RELATED: NO ADDRESS: 120 BROADWAY, 35TH FLOOR, NEW YORK, NY 10271 NATURE OF BUSINESS: INDUSTRY ORG START DATE: 1/2016 POSITION/TITLE/RELATIONSHIP: VOLUNTEER PRESENTER APX NUMBER OF HOURS PER WEEK: 1/2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PROMOTE FINANICAL EDUCATION AND CAPITAL MARKETS LITERACY. 4. NAME OF OTHER BUSINESS: TAKE THE LEAD INVESTMENT RELATED: NO ADDRESS: 322 WEST 57TH SUITE 45M NEW YORK NY 10019 NATURE OF BUSINESS: ADVOCACY START DATE: 4/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF TRADING HOURS PER WEEK: 1 POSITION/TITLE/RELATIONSHIP: LEADSHIP COUNCIL MEMBER BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND PROVIDE GUIDANCE FOR THE CEO. 5. NAME OF OTHER BUSINESS: AZ PINNACLE, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE OWNERSHIP START DATE: 8/2017 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT/MEMBER OF LLC TO HOLD TITLE FOR COMMERCIAL PROPERTY; 6. NAME OF OTHER BUSINESS: CASCO PALMANO LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LLC FORMED TO HOLD REAL ESTATE ; START DATE: 7/2004 ; POSITION/TITLE/RELATIONSHIP: OWNER, MANAGER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: FORMED TO HOLD REAL ESTATE ; 7. NAME OF OTHER BUSINESS: NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARIZING DOCUMENTS; START DATE: 1980; POSITION/TITLE/RELATIONSHIP: NOTARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS; 8. NAME OF OTHER BUSINESS: BEATITUDES CAMPUS; INVESTMENT RELATED: NO; ADDRESS: 1610 W. GLENDALE AVE PHOENIX, AZ 85021; NATURE OF BUSINESS: SENIOR LIVING CAMPUS; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, PARTICIPATE IN OVERSIGHT OF OPERATIONS AND BUDGET FOR ORGANIZATION. DOES NOT INVOLVE ANY INVESTMENT ADVICE; 9. NAME OF OTHER BUSINESS: MARICOPA COUNTY RECORDER'S OFFICE; INVESTMENT RELATED: NO; ADDRESS: 111 S 3RD AVE, PHOENIX, AZ 85003; NATURE OF BUSINESS: VOTER REGISTRATION & EDUCATION; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: VOTER REGISTRATION VOLUNTEER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH A VARIETY OF EVENTS & PROJECTS COMMUNITY OUTREACH;
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Lee Scrivano's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PHOENIX, AZ
Current
February 16, 1988 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 2525 W Carefree Hwy Bldg 2 Ste 112, Phoenix, AZ 85085BD
CRD#: 13572
SCOTTSDALE, AZ
Past
July 12, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SUN CITY, AZ
Past
August 24, 1987 - February 29, 1988
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Arizona(1/9/2018)
IAR
Arizona(6/29/2023)
RR
California(9/12/1994)
RR
Colorado(9/12/1994)
RR
Georgia(3/27/1997)
RR
Hawaii(9/22/2020)
RR
Indiana(8/2/2022)
RR
Iowa(10/16/2025)
RR
Kansas(1/2/2019)
RR
Kentucky(5/2/2013)
RR
Michigan(1/4/2007)
RR
Nevada(1/6/2020)
RR
New York(5/27/2025)
RR
Ohio(5/22/2025)
RR
Oklahoma(8/5/2022)
RR
Oregon(1/4/2010)
RR
South Carolina(1/17/2014)
RR
Tennessee(2/3/2016)
RR
Texas(3/30/2006)
IAR
Texas(6/29/2023)
RR
Virginia(3/7/2023)
RR
Washington(6/22/1995)
RR
Wisconsin(12/12/1994)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Phoenix, AZTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
