Catherine Elaine Ivy

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-09-01

CA RA
APPROVED

Since 2023-09-01

Branch Locations

Phoenix, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Associated Securities Corp.	Palo Alto	CA	10/1998	Present
Ivy Financial Planning & Associates	Palo Alto	CA	04/2006	Present
Lpl Financial Corporation	Palo Alto	CA	09/2009	06/2019
Sagepoint Financial, Inc.	Phoenix	AZ	06/2019	Present
Osaic Wealth, Inc.	Phoenix	AZ	09/2023	Present

10/1998 → Present

Associated Securities Corp.

Palo Alto, CA
04/2006 → Present

Ivy Financial Planning & Associates

Palo Alto, CA
09/2009 → 06/2019

Lpl Financial Corporation

Palo Alto, CA
06/2019 → Present

Sagepoint Financial, Inc.

Phoenix, AZ
09/2023 → Present

Osaic Wealth, Inc.

Phoenix, AZ

Previous Registrations

2019-06-04 → 2023-09-01

Osaic Services, Inc.

Phoenix, AZ

Phoenix, AZ

Santa Barbara, CA
2009-09-08 → 2019-06-19

Lpl Financial Llc

Los Gatos, CA

Phoenix, AZ
2009-07-07 → 2009-09-25

Associated Planners Investment Advisory Inc

Boston, MA
2009-07-07 → 2009-09-08

Associated Securities Corp.

Boston, MA

Palo Alto, CA
1998-11-16 → 2008-06-03

Associated Planners Investment Advisory Inc

Palo Alto, CA
2006-09-20 → 2008-05-23

Ivy Financial Planning & Associates

Palo Alto, CA
2006-06-20 → 2006-10-20

Ivy Financial Enterprises, Incorporated

Palo Alto, CA

Palo Alto, CA

Other Businesses

BEN & CATHERINE IVY FOUNDATION POSITION: President NATURE: Nonprofit corporation for brain cancer research INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 35 START DATE: 01/01/2006 ADDRESS: 6710 N Scottsdale Rd, #235, Scottsdale AZ 85253, United States DESCRIPTION: Networking, follow-up with research grants

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-22
S63	Uniform Securities Agent State Law Examination	1994-06-10

S65 Uniform Investment Adviser Law Examination

1999-06-22
S63 Uniform Securities Agent State Law Examination

1994-06-10

Other Names

Catherine Elaine Bracken
Catherine Elaine Bracken

View on SEC IAPD