AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CF

Catherine A. Fitts

Some features on this profile are disabled
CRD#: 702602
CF

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 Austin Fitts was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 1979. Catherine had worked at 4 firms and has passed the Series 65, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
PRESIDENT AND SOLE SHAREHOLDER OF SOLARI, INC., SOLARI PROVIDES FINANCIAL AND RISK MANAGEMENT EDUCATION THROUGH SPEECHES, AUDIO SEMINARS, VIDEOS, ONLINE ARTICLES, RADIO SHOWS AND A SUBSCRIPTION BRIDGE CALL, THE SOLARI REPORT AND AN ONLINE BLOG AND WEBSITE. EMPLOYMENT WITH SOLARI, INC. HAS BEEN SINCE MARCH, 1998. SOLARI, INC. HAS THE SAME ADDRESS AS SOLARI INVESTMENT ADVISORY SERVICES, LLC BUT USES A DIFFERENT MAILING ADDRESS (P.O. BOX 157). TIME SPENT ON BUSINESSES WILL DEPEND UPON RELATIVE DEMAND FOR EACH COMPANY'S SERVICES. IN GENERAL, IT IS EXPECTED THAT 70% OF TIME WILL BE SPENT ON INVESTMENT ADVISORY AND 30% OF TIME ON SOLARI, INC. INVESTMENT ADVISORY HAS PRECEDENCE ON TIME DURING SECURITIES TRADING HOURS.

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

April 5, 2011 - January 2, 2015

SEA LANE ADVISORY, LLC

RIA
CRD#: 156238
PLEASANTON, CA
Past

September 26, 2007 - September 25, 2022

SOLARI INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 144109
HICKORY VALLEY, TN
Past

August 19, 1991 - March 6, 1998

HAMILTON SECURITIES CAPITAL MARKETS, INC.

BD
CRD#: 28386
WASHINGTON, DC
Past

December 21, 1979 - April 12, 1989

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/16/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/27/1987
General Securities Principal Examination

Current Firm

SL
SEA LANE ADVISORY, LLC
SEA LANE ADVISORY, LLC

CRD#: 156238 / SEC#:

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
7011 Koll Center Parkway Suite 210, Pleasanton, CA 94566
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

SEA LANE ADVISORY, LLC

CRD#: 156238

TRUST BUT VERIFY

Monitor Catherine Fitts

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.