Catherine Alice Harris

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
VT	RA	APPROVED	2026-07-08
NY	RA	APPROVED	2026-07-07

VT RA
APPROVED

Since 2026-07-08
NY RA
APPROVED

Since 2026-07-07

Branch Locations

277 Blair Park Road, Williston, VT 05495 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

63 Putnam Street, Saratoga Springs, NY 12866 • 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

Organization	City	State	From	To
Cetera Investment Advisers Llc	Schaumburg	IL	11/2010	07/2026
Cetera Financial Specialists Llc	Schaumburg	IL	11/2010	07/2026
Becker Professional Education	Downers Grove	IL	10/2010	07/2018
Spaulding & Harris	Westminster Station	VT	10/2013	07/2018
Chs Wealth Management & Cpas	Saratoga Springs	NY	03/2013	Present
Chs Wealth Management & Cpas	Westminster Station	NY	03/2013	06/2020
Chs Wealth Management & Cpas	Walpole	NH	06/2020	07/2026
Chs Wealth Management & Cpas	Williston	VT	01/2025	Present
Lpl Financial	Williston	VT	07/2026	Present

11/2010 → 07/2026

Cetera Investment Advisers Llc

Schaumburg, IL
11/2010 → 07/2026

Cetera Financial Specialists Llc

Schaumburg, IL
10/2010 → 07/2018

Becker Professional Education

Downers Grove, IL
10/2013 → 07/2018

Spaulding & Harris

Westminster Station, VT
03/2013 → Present

Chs Wealth Management & Cpas

Saratoga Springs, NY
03/2013 → 06/2020

Chs Wealth Management & Cpas

Westminster Station, NY
06/2020 → 07/2026

Chs Wealth Management & Cpas

Walpole, NH
01/2025 → Present

Chs Wealth Management & Cpas

Williston, VT
07/2026 → Present

Lpl Financial

Williston, VT

Previous Registrations

2013-04-18 → 2026-07-07

Cetera Investment Advisers Llc

Schaghticoke, NY

Naples, FL

Westminster Station, VT

Saratoga Springs, NY

Essex Junction, VT

Colchester, VT

Walpole, NH

Williston, VT

Other Businesses

1. 07/2026 - CHS Wealth Management - Business Entity For Tax/Investment Purposes Only - Inv Related – 1 Hour(s)/Month – 1 Hour(s) During Trading – Williston, VT, 05495 – OBA Start Date: 10/13/2013 2. 07/2026 - CHS Wealth Management & CPAs PLLC - DBA for LPL Business (entity for LPL business) - Inv Related – 150 Hour(s)/Month – 150 Hour(s) During Trading – Williston, VT, 05495 – OBA Start Date: 7/7/2026 3. 07/2026 - Lorraine Holdings VT, LLC - Real Estate Rental - Inv Related – 3 Hour(s)/Month – 2 Hour(s) During Trading – Williston, VT, 05495 – OBA Start Date: 08/29/2024 4. 07/2026 - Lorraine Holdings, LLC - Real Estate Rental - Inv Related – 2 Hour(s)/Month – 1 Hour(s) During Trading – Walpole, NH, 03608 – OBA Start Date: 04/18/2020 5. 07/2026 - CHS Wealth Management & CPAs PLLC - Non-Variable Insurance - Inv Related – 2 Hour(s)/Month – 2 Hour(s) During Trading – Williston, VT, 05495 – OBA Start Date: 12/31/2020 6. 07/2026 - CHS Wealth Management & CPAs PLLC - Tax Prep/Accounting/CPA - Inv Related – 60 Hour(s)/Month – 40 Hour(s) During Trading – Williston, VT, 05495 – OBA Start Date: 10/13/2013

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-03-24
S63	Uniform Securities Agent State Law Examination	1998-06-09

S66 Uniform Combined State Law Examination

2011-03-24
S63 Uniform Securities Agent State Law Examination

1998-06-09

Designations

Other Names

Cathy Harris
Catherine Lafountain
Catherine Smith
Catherine Harris Smith

View on SEC IAPD