Katherine A. Mcguire

CETERA INVESTMENT ADVISERS

BRONX, NY

CRD#: 2739556

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Professional summary

Katherine Alice Mcguire, who also goes by Katherine Mcguire, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bronx, New York and CETERA INVESTMENT SERVICES LLC located in Iselin, New Jersey.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Katherine has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Mcguire

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Alice Mcguire'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

July 15, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 485 Us Highway 1 South Bldg C; Suite 120, Iselin, NJ 08830

RIA

CRD#: 105644

BRONX, NY

Current

June 20, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 485 Us Highway 1 South Bldg C; Suite 120, Iselin, NJ 08830

CRD#: 15340

ISELIN, NJ

Past

January 17, 2017 - June 24, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

NEW YORK, NY

Past

September 22, 2003 - September 9, 2016

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

November 24, 1998 - November 9, 2001

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

October 21, 1998 - November 25, 1998

ANDREW GARRETT, INC.

CRD#: 36250

NEW YORK, NY

Past

July 6, 1998 - October 7, 1998

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

NEW YORK, NY

Past

May 29, 1998 - June 30, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

PORT WASHINGTON, NY

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

Connecticut
(6/21/2019)

Florida
(6/21/2019)

New Jersey
(6/21/2019)

IAR

New Jersey
(7/15/2020)

New York
(6/21/2019)

IAR

New York
(3/31/2021)

South Carolina
(10/14/2022)

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 66

Date: 7/6/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1998

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 4/17/1996

National Commodity Futures 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

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 A. Mcguire

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Alice Mcguire's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

BISHOP, ROSEN & CO., INC.

LAIDLAW GLOBAL SECURITIES, INC.

ANDREW GARRETT, INC.

DALTON KENT SECURITIES GROUP, INC.

FIRST PROVIDENCE FINANCIAL GROUP, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/6/2020

Series 63

Date: 6/8/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/28/1998

Series 3

Date: 4/17/1996

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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