Catherine A. Harris
CETERA INVESTMENT ADVISERS LLC
WILLISTON, VT 05495
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CRD#: 2838199
Professional summary
Catherine Alice Harris, CFP®, who also goes by Cathy Harris, Catherine Lafountain, Catherine Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williston, Vermont and CETERA FINANCIAL SPECIALISTS LLC located in Saratoga Springs, New York.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Catherine has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Harris | Catherine Lafountain | Catherine 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.
1)CHS WEALTH MANAGEMENT & CPAS; DBA NAME FOR INVESTMENT PRACTICE - INV. RELATED; SAME AS REGISTERED ADDRESS; WEALTH/FINANCIAL ADVISORY & CPA FIRM; OWNER; SINCE 03/2013; 160 HRS/MONTH; 140 HRS/MONTH DURING SECURITIES TRADING HOURS; 2) NAME OF OTHER BUSINESS: LORRAINE HOLDINGS VT, LLC; INVESTMENT RELATED: NO; ADDRESS: 277 BLAIR PARK ROAD, STE. 110, WILLISTON, VT 05495; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: MEMBER-MANAGER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LANDLORD FOR COMMERCIAL OFFICE CONDO BEING PURCHASED FOR INVESTMENT FIRM LOCATION;
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Alice Harris'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®
CFP®
Start date: 2021
Experience
Current
April 18, 2013 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 277 Blair Park Rd Ste 110, Williston, VT 05495Office #2: 63 Putnam Street Suite 204, Saratoga Springs, NY 12866Office #3: 6 Ames Plaza Ln, Walpole, NH 03608RIA
CRD#: 105644
WILLISTON, VT
Current
March 15, 2011 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 63 Putnam Street Suite 204, Saratoga Springs, NY 12866Office #2: 6 Ames Plaza Ln, Walpole, NH 03608Office #3: 277 Blair Park Rd Ste 110, Williston, VT 05495BD
CRD#: 10358
Saratoga Springs, NY
Past
September 11, 2000 - November 27, 2007
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 16, 1998 - September 11, 2000
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
February 11, 1997 - April 16, 1998
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Colorado(12/18/2019)
RR
Connecticut(11/8/2017)
RR
Florida(3/15/2011)
IAR
Florida(4/18/2013)
RR
Maine(1/14/2023)
RR
Nevada(8/1/2022)
RR
New Hampshire(10/31/2013)
IAR
New Hampshire(6/12/2020)
RR
New York(3/25/2011)
IAR
New York(3/31/2021)
RR
Ohio(8/6/2024)
RR
South Carolina(7/31/2019)
RR
Vermont(10/31/2013)
IAR
Vermont(11/25/2013)
RR
Virginia(11/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
