Unclaimed
Catherine Ann Peters is a financial advisor with Gradient Advisors, LLC. Catherine has been in the financial services industry since February 13, 1991. Catherine is registered with the state of Minnesota as an Investment Advisor Representative and Broker-Dealer. Catherine holds licenses for Series 6, 7, 24, 63, 65, 79TO, 99TO and the SIE exam. Catherine has experience working with individuals, corporations, and pension plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Referral fees
1
2
MN
12/18/2014 - Present
Gradient Advisors, LLC (ARDEN HILLS MN)
MN
08/07/2012 - 12/10/2014
ROYAL ALLIANCE ASSOCIATES, INC. (MINNEAPOLIS MN)
VA
10/04/2011 - 07/31/2012
ALLIED BEACON PARTNERS, INC. (RICHMOND VA)
MN
02/01/2007 - 09/30/2011
WORKMAN SECURITIES CORPORATION (EDEN PRAIRIE MN)
MN
04/22/1998 - 01/12/2007
ASKAR CORP. (BLOOMINGTON MN)
NJ
11/27/1995 - 04/14/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
ND
12/03/1990 - 10/25/1995
ARM SECURITIES CORPORATION (MINOT ND)
IA
Issued 10/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/28/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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