Cathleen Mary Dunkel Petersen

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1987 → 12/2016
  Foothill Securities, Inc.
  Saratoga, CA
• 08/1984 → Present
  Cathleen M. Petersen, E.A.
  Saratoga, CA
• 12/2016 → 06/2024
  Securities America, Inc.
  Saratoga, CA
• 12/2016 → 06/2024
  Securities America Advisors, Inc.
  Saratoga, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Saratoga, CA

Previous Registrations

• 2016-12-08 → 2024-06-14
  Securities America Advisors, Inc.
  Saratoga, CA
• 1997-12-19 → 2016-12-08
  Foothill Securities, Inc.
  Saratoga, CA
  Santa Clara, CA
  Santa Clara, CA

Other Businesses

1. SECURITIES AMERICA ADVISORS -INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 12/2016 - LOCATED AT 14583 Big Basin Way, STE 6, Saratoga, CA 95070 2. CATHLEEN M. PETERSEN, E.A. POSITION: Owner/Enrolled Agent NATURE: Tax preparation and tax planning INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 3 START DATE: 12/31/1983 ADDRESS: 14583 Big Basin Way, Saratoga CA 95070 DESCRIPTION: Tax preparation of 750+ tax returns including individual, corporate, fiduciary, estate returns. Tax planning for many clients. 3. MARK AND CATHLEEN PETERSEN POSITION: owner NATURE: Rental Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/02/2004 ADDRESS: 45 MONTGOMERY STREET, LOS GATOS CA 95030, United States DESCRIPTION: Own four investment properties, three commercial buildings and a residential rental. These are owned 100% by me and my husband in our Revocable Living Trust.

Exams

• S63 Uniform Securities Agent State Law Examination
  2015-08-06

Other Names

• Cathleen Mary Dunkel