Catherine P. Smith

LIFETYME FINANCIAL ADVISORS

Scottsdale, AZ 85260

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CRD#: 1920407

Professional summary

Catherine Penna Smith, who also goes by Catherine Anne Smith, Cathy Anne Smith, Penna Smith, is a registered financial advisor currently at LIFETYME FINANCIAL ADVISORS, LLC located in Scottsdale, Arizona.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Catherine has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catherine Anne Smith | Cathy Anne Smith | Penna Smith

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.

LIFETYME FINANCIAL GROUP, LLC; SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENT; 06/2019; 50% OF TIME SPENT IN THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Penna Smith'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®

None

Experience

Current

October 11, 2019 - Present

LIFETYME FINANCIAL ADVISORS, LLC

Office #1: 14362 N. Frank Lloyd Wright Blvd. Suite 1240, Scottsdale, AZ 85260

RIA

CRD#: 159809

Scottsdale, AZ

Past

May 5, 1997 - April 19, 1999

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

October 11, 1995 - April 1, 1997

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

March 22, 1994 - April 5, 1995

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

Past

June 12, 1990 - April 12, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 6, 1990 - May 21, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 14, 1989 - March 14, 1990

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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

Alaska
(12/21/2021)

IAR

Arizona
(10/11/2019)

IAR

California
(9/7/2021)

IAR

Colorado
(11/18/2020)

IAR

Florida
(3/17/2022)

IAR

Illinois
(5/7/2020)

IAR

Texas
(2/22/2023)

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: 8/29/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/7/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

Current Firm

LIFETYME FINANCIAL ADVISORS, LLC

ALLSTAR FINANCIAL ADVISORS, LLC | LIFETYME FINANCIAL ADVISORS, LLC

CRD#: 159809 / SEC#:

Alaska

Registered Investment Advisory firm - (12/17/2021 Approved)

Arizona

Registered Investment Advisory firm - (1/11/2012 Approved)

California

Registered Investment Advisory firm - (7/7/2014 Approved)

Colorado

Registered Investment Advisory firm - (5/12/2017 Approved)

Connecticut

Registered Investment Advisory firm - (6/16/2015 Approved)

District of Columbia

Registered Investment Advisory firm - (6/15/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/18/2015 Approved)

Georgia

Registered Investment Advisory firm - (8/8/2018 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2020 Approved)

Maryland

Registered Investment Advisory firm - (7/19/2021 Terminated)

Minnesota

Registered Investment Advisory firm - (6/16/2020 Approved)

Nevada

Registered Investment Advisory firm - (7/14/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (3/9/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/16/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (3/9/2018 Approved)

Texas

Registered Investment Advisory firm - (10/18/2018 Approved)

Virginia

Registered Investment Advisory firm - (7/8/2021 Terminated)

West Virginia

Registered Investment Advisory firm - (6/15/2021 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).

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Contact information

Main Address

14362 N. Frank Lloyd Wright Blvd. Suite 1240, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 774-4735

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Catherine P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Penna Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFETYME FINANCIAL ADVISORS, LLC

ABN AMRO INCORPORATED

CITICORP SECURITIES, INC.

THE CHICAGO CORPORATION

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2019

Series 63

Date: 6/15/1989

Series 3

Date: 8/7/1995

Series 7

Date: 2/11/1989

Current Firm

LIFETYME FINANCIAL ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

LIFETYME FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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