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Catherine Penna Smith

Lifetyme Financial Advisors, LLC

Scottsdale, AZ

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Current Employers
Lifetyme Financial Advisors, Llc

14362 N. Frank Lloyd Wright Blvd. Suite 1240, Scottsdale, AZ 85260 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-22
FL RA APPROVED 2022-03-17
AK RA APPROVED 2021-12-21
CA RA APPROVED 2021-09-07
CO RA APPROVED 2020-11-18
IL RA APPROVED 2020-05-07
AZ RA APPROVED 2019-10-11
  • TX RA
    APPROVED
    Since 2023-02-22
  • FL RA
    APPROVED
    Since 2022-03-17
  • AK RA
    APPROVED
    Since 2021-12-21
  • CA RA
    APPROVED
    Since 2021-09-07
  • CO RA
    APPROVED
    Since 2020-11-18
  • IL RA
    APPROVED
    Since 2020-05-07
  • AZ RA
    APPROVED
    Since 2019-10-11

Branch Locations

14362 N. Frank Lloyd Wright Blvd. Suite 1240, Scottsdale, AZ 85260 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lifetyme Financial Advisors, Llc Scottsdale AZ 09/2019 Present
Lifetyme Financial Advisors, Llc Phoenix AZ 06/2019 09/2019
Lifetyme Financial Group, Llc Scottsdale AZ 06/2019 Present
Mccauley Nicholson And Preder, Cpas Chandler AZ 08/2016 06/2019
Unemployed Phoenix AZ 05/2014 10/2016
Other Businesses

LIFETYME FINANCIAL GROUP, LLC; SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENT; 06/2019; 50% OF TIME SPENT IN THIS BUSINESS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-08-29
S63 Uniform Securities Agent State Law Examination 1989-06-15
  • S65 Uniform Investment Adviser Law Examination
    2019-08-29
  • S63 Uniform Securities Agent State Law Examination
    1989-06-15
Other Names
  • Catherine Anne Smith
  • Cathy Anne Smith
  • Penna Smith

View on SEC IAPD

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SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN
MARC ALAN NORMANN
Susanne T Gibo
PAUL JOSEPH SEIDMAN
JARON DAVID CARMICHAEL
HUSSEIN ELGOHARY

Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

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