Catherine B. Duperrieu

Some features on this profile are disabled

CRD#: 5682160

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Catherine Blythe Duperrieu, who also goes by Catherine W Blythe, Catherine Wallace Blythe, was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 2013. Catherine had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Catherine W Blythe | Catherine Wallace Blythe

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: BLYTHE INVESTMENT ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 08/2018; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) DEC PROPERTIES, LLC; NOT INVESTMENT RELATED; 350 GARLAND DR, PADUCAH, KY 42001; RENTAL PROPERTY; START 2014; 0 HOURS/WEEK; DEC OWNS ONE RENTAL HOUSE IN SEACREST, FL. 3)BD GATEWAY INVESTORS, NOT INVESTMENT RELATED, 2660 WEST PARK DRIVE, PADUACH, KY 42001, REAL ESTATE DEVELOPMENT, PARTNER, STARTED 8/2015, APX 0 HOURS PER WEEK, NONE DURING TRADING HOURS, FAMILY PARTNERSHIP. 4) NAME OF OTHER BUSINESS: BLYTHE CPAS LLC DBA BLYTHE CPAS & ADVISORS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: ACCOUNTING, ASSURANCE, TAX AND CONSULTING SERVICES ; START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: CPA / CO-OWNER ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: LEAD THE FIRMS ASSURANCE SERVICES. MEMBER OF BLYTHE CPAS LLC 5) NAME OF OTHER BUSINESS: GRAN OPPORTUNITIES, LLC; INVESTMENT RELATED: NO; ADDRESS: 350 GARLAND DRIVE, PADUCAH, KY 42001; NATURE OF BUSINESS: REAL ESTATE HOLDING COMPANY; START DATE: 07/2018; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: FAMILY PARTNERSHIP, NO RESPONSIBILITIES OR TIME DEVOTED;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 23, 2013 - September 13, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PADUCA, KY

Past

September 18, 2013 - September 13, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

PADUCAH, KY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/23/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2013

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Catherine B. Duperrieu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2013

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2013

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

Similar Advisors