Catherine L. Azeles

CONRAD SIEGEL INVESTMENT ADVISORS

Harrisburg, PA 17110

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CRD#: 5147682

Professional summary

Catherine Loretta Azeles, CFP®, who also goes by Catherine Loretta Brackin, Katie Brackin, is a registered financial advisor currently at CONRAD SIEGEL INVESTMENT ADVISORS located in Harrisburg, Pennsylvania.

Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Catherine has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Biography

High Net Worth Client Needs 
	Investment Advice with Ongoing Management
	Holistic Financial Planning

Question & Answer

What are your service offerings?

Long-term Care

Retirement Planning

Estate Planning

Insurance Planning

Comprehensive Financial Planni...

Elder Care

Employee and Employer Plan Ben...

Tax Planning

Investment Planning

Life Transitions

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Catherine Loretta Brackin | Katie Brackin

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 Catherine Loretta Azeles'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 20, 2018 - Present

CONRAD SIEGEL INVESTMENT ADVISORS

Office #1: 501 Corporate Circle, Harrisburg, PA 17110

RIA

CRD#: 123560

Harrisburg, PA

Past

January 2, 2018 - March 6, 2018

BB&T SECURITIES, LLC

RIA

CRD#: 142785

CAMP HILL, PA

Past

January 2, 2018 - March 6, 2018

BB&T SECURITIES, LLC

CRD#: 142785

CAMP HILL, PA

Past

January 29, 2016 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CAMP HILL, PA

Past

January 29, 2016 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CAMP HILL, PA

Past

September 21, 2012 - February 4, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CAMP HILL, PA

Past

January 3, 2012 - February 4, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CAMP HILL, PA

Past

January 2, 2009 - September 9, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

CAMP HILL, PA

Past

June 16, 2006 - December 19, 2008

PRUCO SECURITIES, LLC.

CRD#: 5685

HERSHEY, PA

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".

CONRAD SIEGEL INVESTMENT ADVISORS

CMS INVESTMENT ADVISORS INC. | CONRAD SIEGEL INVESTMENT ADVISORS, INC. | CONRAD SIEGEL INVESTMENT ADVISORS | CMS INVESTMENT ADVISORS, INC.

CRD#: 123560 / SEC#: 801-62505

RIA

Registered Investment Advisory firm - (11/14/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2003 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).

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

Pennsylvania
(3/20/2018)

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: 9/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONRAD SIEGEL INVESTMENT ADVISORS

CMS INVESTMENT ADVISORS INC. | CONRAD SIEGEL INVESTMENT ADVISORS, INC. | CONRAD SIEGEL INVESTMENT ADVISORS | CMS INVESTMENT ADVISORS, INC.

CRD#: 123560 / SEC#: 801-62505

RIA

Registered Investment Advisory firm - (11/14/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2003 Terminated)

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Contact information

Main Address

501 Corporate Circle, Harrisburg, PA 17110

Mailing Address

Phone number

(717) 652-5633

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR CONRAD SIEGEL INVESTMENT ADVISORS, INC. (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,085
AUM (Assets Under Management)	$ 10,118,593,493

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.

Contact information

(xxx) xxx-xxxx

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Catherine L. Azeles

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Loretta Azeles's CRS (Customer Relationship Summary).

Certified licenses

Experience

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CONRAD SIEGEL INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/2012

Series 63

Date: 6/23/2006

SIE

Date: 3/6/2018

Series 7

Date: 4/12/2012

Series 6

Date: 6/15/2006

Current Firm

CONRAD SIEGEL INVESTMENT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONRAD SIEGEL INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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