Cathy Lynn Fitzpatrick

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:

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

Current Employers

Employment History

• 11/1990 → 08/2023
  Minnesota Life
  Irvine, CA
• 11/1990 → 08/2023
  Securian Financial Services
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-02-12 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  Newport Beach, CA
  St. Paul, MN

Other Businesses

1) WISE- WOMEN INVESTING IN SECURITY AND EDUCATION POSITION: Advisory Board NATURE: Volunteer/Community Outreach INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/12/2023 ADDRESS: 23705 Birtcher Drive, Lake Forest CA 92630, United States DESCRIPTION: This is a charity to educate women and girls about the importance of financial security. From the website: "The Vision of WISE is to facilitate the financial education of all women and girls so they may: acquire skills, tools and the mindset to improve their financial status network with other women with similar financial needs and goals, and secure their personal financial freedom" I am an Auxiliary Board Member meaning I am not responsible for making all the board meetings or have any financial obligation to donate to the charity. My duties are to be the go-between the Girl Scouts of Orange Co and WISE by reminding GSOC that WISE would like to help educate the Girl Scouts about money matters, like saving and budgeting. 2) GIRL SCOUTS OF ORANGE COUNTY POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/24/2021 ADDRESS: 9500 Toledo Way, Irvine CA 92618, United States DESCRIPTION: I am a "member at large" on the board of the Girl Scouts of Orange County. I am not on the executive committee, so no real responsibility except to either raise money for GSOC, write a check or give an "in-kind" donation of $5,000 per year. 2023 - I am now on the Finance Committee and the Audit committee. I do not touch money, all I do is listen to the CFO of GSOC and ask questions on the financial activity of the charity, and vote to pass the budget etc. May 2023- I did facilitate a securities client's donation of an unwanted timeshare to be auctioned off by GSOC. 3) NAME OF OTHER BUSINESS: TAX & FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-09-15

Designations

• Certified Financial Planner

Other Names

• Cathy Lynn Heinze