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Katherine Alice Mcguire

Cetera Investment Advisers LLC

Iselin, NJ

Bronx, NY

CRD 2739556

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-31
NJ RA APPROVED 2020-07-15
  • NY RA
    APPROVED
    Since 2021-03-31
  • NJ RA
    APPROVED
    Since 2020-07-15

Branch Locations

485 Us Highway 1 South Bldg C; Suite 120, Iselin, NJ 08830 • United States

Bronx, NY • 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
Unemployed New York NY 09/2016 11/2016
Foresters Financial Services New York NY 12/2016 09/2017
Sundance Outdoors New York NY 01/2016 12/2017
Foresters Financial Services New York NY 09/2017 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Iselin NJ 06/2019 Present
  • 09/2016 → 11/2016
    Unemployed
    New York, NY
  • 12/2016 → 09/2017
    Foresters Financial Services
    New York, NY
  • 01/2016 → 12/2017
    Sundance Outdoors
    New York, NY
  • 09/2017 → 06/2019
    Foresters Financial Services
    New York, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Iselin, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-06
S63 Uniform Securities Agent State Law Examination 1998-06-08
  • S66 Uniform Combined State Law Examination
    2020-07-06
  • S63 Uniform Securities Agent State Law Examination
    1998-06-08
Other Names
  • Katherine Mcguire

View on SEC IAPD

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