Catherine A. Peters

GRADIENT ADVISORS

Arden Hills, MN 55126

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CRD#: 1667478

Professional summary

Catherine Ann Peters, who also goes by Catherine Ann Peter, Cathy Ann Peters, Cathy Peters, is a registered financial advisor currently at GRADIENT ADVISORS, LLC located in Arden Hills, Minnesota and GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota.

Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Catherine has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Ann Peter | Cathy Ann Peters | Cathy Peters

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.

GRADIENT ADVISORS, LLC; INV-RELATED; 4105 LEXINGTON AVE N, SUITE 225, ARDEN HILLS, MN 55126; CHIEF COMPLIANCE OFFICER; 160 HRS/MO; 160 HRS/MO DURING TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Ann Peters'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

December 18, 2014 - Present

GRADIENT ADVISORS, LLC

Office #1: 4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

RIA

CRD#: 152665

Arden Hills, MN

Current

December 22, 2014 - Present

GRADIENT SECURITIES, LLC

Office #1: 4105 Lexington Avenue N Suite 380, Arden Hills, MN 55126

RIA

CRD#: 127701

Arden Hills, MN

Past

January 22, 2013 - December 11, 2014

FOCUS FINANCIAL

RIA

CRD#: 116140

MINNEAPOLIS, MN

Past

August 7, 2012 - December 10, 2014

OSAIC WEALTH, INC.

CRD#: 23131

MINNEAPOLIS, MN

Past

October 4, 2011 - July 31, 2012

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

RICHMOND, VA

Past

February 1, 2007 - September 30, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

EDEN PRAIRIE, MN

Past

April 22, 1998 - January 12, 2007

ASKAR CORP.

CRD#: 7512

BLOOMINGTON, MN

Past

November 27, 1995 - April 14, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 3, 1990 - October 25, 1995

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

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".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 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

IAR

Minnesota
(12/18/2014)

Minnesota
(12/22/2014)

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

IAR

Series 65

Date: 10/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative 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: 1/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/28/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Catherine A. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Ann Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

FOCUS FINANCIAL

OSAIC WEALTH, INC.

ALLIED BEACON PARTNERS, INC.

WORKMAN SECURITIES CORPORATION

ASKAR CORP.

PRUCO SECURITIES, LLC.

ARM SECURITIES CORPORATION

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1999

Series 63

Date: 11/28/1990

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2000

Series 6

Date: 11/28/1990

Series 24

Date: 11/3/2000

FINRA

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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