Katherine J. Cathcart

CETERA INVESTMENT ADVISERS LLC

Fort Lauderdale, FL

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CRD#: 2343349

Professional summary

Katherine Jeanette Cathcart, CIMA®, who also goes by Katherine Jeanette Binko, Kathy Cathcart, Katherine Cathcart, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Lauderdale, Florida and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Katherine has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Jeanette Binko | Kathy Cathcart | Katherine Cathcart

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: WOMEN IN ETF; INVESTMENT RELATED: NO; ADDRESS: 5806 GROVE AVENUE, RICHMOND, VA 23226; NATURE OF BUSINESS: INSPIRING AND SUPPORTING WOMEN IN THE ETF AND FINANCE INDUSTRY; START DATE: 07/2021; POSITION/TITLE/RELATIONSHIP: MEMBERSHIP COMMITTEE CO-CHAIR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: ATTEND NETWORKING EVENTS, REVIEW PROFILES FOR MEMBERSHIP APPROVAL;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Jeanette Cathcart'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 25, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

Fort Lauderdale, FL

Current

July 14, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

July 14, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

July 14, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

July 14, 2022 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

July 15, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BOCA RATON, FL

Past

July 14, 2022 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

January 3, 2022 - June 23, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

July 3, 2019 - July 15, 2022

HILTON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 116357

Boca Raton, FL

Past

September 5, 2018 - December 31, 2018

HILTON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 116357

Boca Raton, FL

Past

June 28, 2018 - January 3, 2022

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

December 13, 2017 - July 11, 2018

LOGAN CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108893

Boca Raton, FL

Past

August 21, 2017 - June 15, 2018

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

May 7, 2010 - August 4, 2017

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

BOCA RATON, FL

Past

March 27, 2006 - May 12, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

BOCA RATON, FL

Past

November 15, 2002 - August 4, 2017

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

RIA

CRD#: 120420

BOCA RATON, FL

Past

April 15, 2002 - March 6, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 19, 1999 - May 9, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

December 8, 1993 - April 30, 1999

A. F. BEST SECURITIES, INC.

CRD#: 14335

CORAL SPRINGS, FL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(7/15/2022)

Florida
(7/15/2022)

IAR

Florida
(4/25/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/16/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/25/1995

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Katherine J. Cathcart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Jeanette Cathcart's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

FORESIDE FUND SERVICES, LLC

HILTON CAPITAL MANAGEMENT, LLC

HILTON CAPITAL MANAGEMENT, LLC

RAFFERTY CAPITAL MARKETS, LLC

LOGAN CAPITAL MANAGEMENT, INC.

QUASAR DISTRIBUTORS, LLC

MANAGED ACCOUNT SERVICES, LLC

JESUP & LAMONT SECURITIES CORP

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

ADVEST, INC.

GRUNTAL & CO., L.L.C.

A. F. BEST SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2001

Series 63

Date: 12/6/1996

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/7/1993

Series 24

Date: 4/23/2005

Series 53

Date: 4/25/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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