Catherine C. Zaino

SOUDERS FINANCIAL ADVISORS

Springfield, OH 45502

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CRD#: 1782498

Professional summary

Catherine C Zaino, who also goes by Catherine Costa Zaino, Catherine Zaino, is a registered financial advisor currently at SOUDERS FINANCIAL ADVISORS, LLC located in Springfield, Ohio.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Catherine has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Costa Zaino | Catherine Zaino

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) 08/19/2019: STRATEGIC CAPITAL ADVISORS - DBA SOUDERS FINANCIAL ADVISORS - INV REL - AT REPORTED BUSINESS LOCATION(S) (2) 09/17/2013: NO BUSINESS NAME - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 50% OF TIME SPENT - INSURANCE SALES: HEALTH, DENTAL, LIFE, DISABILITY (5) 03/19/2015: ACCOMPANY BENEFITS,LLC DBA SEQUENT - INV REL - 8415 PULSAR PLACE, SUITE 201, COLUMBUS, OH 43240 - NON-VARIABLE INSURANCE - START 09/13/2013 - 80 HR/MO 4 DURING SECS TRDG HRS - LIFE & HEALTH INSURANCE (6) 04/12/2015: ADVANTAGE INVESTMENT MANAGEMENT, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA: STRATEGIC CAPITAL ADVISERS - START 10/01/2013 - 120 HR/MO 6 DURING SECS TRDG HRS - IAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine C Zaino'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

August 25, 2019 - Present

SOUDERS FINANCIAL ADVISORS, LLC

Office #1: 20 S. Limestone Street Suite 249, Springfield, OH 45502

RIA

CRD#: 296780

Springfield, OH

Past

September 12, 2013 - August 20, 2019

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

SPRINGFIELD, OH

Past

September 4, 2013 - January 6, 2017

LPL FINANCIAL LLC

CRD#: 6413

SPRINGFIELD, OH

Past

January 4, 2011 - September 19, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

COLUMBUS, OH

Past

December 13, 2010 - September 19, 2013

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

COLUMBUS, OH

Past

December 24, 1987 - June 1, 2000

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

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".

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(8/25/2019)

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.

Exams

State Security Law Exam

Series 63

Date: 7/19/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/10/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

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Contact information

Main Address

5968 Bridgetown Road, Cincinnati, OH 45248

Mailing Address

Phone number

(513) 598-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUDERS FINANCIAL ADVISORS FORM ADV PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,232
AUM (Assets Under Management)	$ 1,065,305,147

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 C. Zaino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine C Zaino's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANTAGE INVESTMENT MANAGEMENT, LLC

LPL FINANCIAL LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

SOUDERS FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/2013

SIE

Date: 1/6/2017

Series 6

Date: 12/10/2010

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUDERS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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