CC
Catherine C. Christ
SAGEVIEW ADVISORY GROUP
Newport Beach, CA 92660
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CRD#: 2113549
CC
Professional summary
Catherine Constance Christ is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Catherine has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: SAGEVIEW ADVISORY GROUP
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: ADVISORY ADMINISTRATIVE REPRESENTATIVE
START DATE: 2014
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE DUTIES;
2. NAME OF OTHER BUSINESS: CO-TRUSTEE OF PARENTS FAMILY TRUST;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS RESIDENTIAL ADDRESS;
NATURE OF BUSINESS: TRUST;
START DATE: 06/2017;
POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE;
APX NUMBER OF HOURS PER WEEK: NONE;
APX NUMBER OF HOURS DURING TRADING HOURS: NONE;
BRIEF DESCRIPTION OF DUTIES: CO-TRUSTEE OF PARENTS FAMILY TRUST;
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Constance Christ'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®
NoneExperience
Current
May 6, 2015 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660RIA
CRD#: 126777
Newport Beach, CA
Current
May 1, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
February 3, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
GLENDALE, CA
Past
February 1, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
GLENDALE, CA
Past
March 29, 2010 - July 20, 2010
BENEFIT FINANCIAL SERVICES GROUP
RIA
CRD#: 143617
IRVINE, CA
Past
July 12, 1994 - June 12, 2009
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
California(5/1/2015)
IAR
California(5/6/2015)
IAR
Utah(11/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
