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Catherine Ann Peters

Gradient Advisors, LLC

Arden Hills, MN

Arden Hills, MN

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Current Employers
Gradient Advisors, Llc

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-12-18
  • MN RA
    APPROVED
    Since 2014-12-18

Branch Locations

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126 • United States

4015 Lexington Ave N 201, Arden Hills, MN 55126 • 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
Gradient Advisors, Llc Arden Hills MN 12/2014 03/2026
Gradient Securities, Llc Arden Hills MN 12/2014 Present
Ria Registrar Arden Hills MN 03/2026 Present
Gradient Advisors, Llc Arden Hills MN 03/2026 Present
  • 12/2014 → 03/2026
    Gradient Advisors, Llc
    Arden Hills, MN
  • 12/2014 → Present
    Gradient Securities, Llc
    Arden Hills, MN
  • 03/2026 → Present
    Ria Registrar
    Arden Hills, MN
  • 03/2026 → Present
    Gradient Advisors, Llc
    Arden Hills, MN
Previous Registrations
Other Businesses

1. RIA Registrar | Not Investment Related | Arden Hills, Minnesota | Consulting | Director of Compliance | 03/2026 | 128hrs/mo | 128hrs/mo during trading | Provide Compliance Consulting to RIA firms

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-19
S63 Uniform Securities Agent State Law Examination 1990-11-28
  • S65 Uniform Investment Adviser Law Examination
    1999-10-19
  • S63 Uniform Securities Agent State Law Examination
    1990-11-28
Other Names
  • Catherine Ann Peter
  • Catherine Ann Peters
  • Cathy Ann Peters
  • Cathy Peters

View on SEC IAPD

Other Firms

BRIGHT ANGEL ADVISORS LLC
HERITAGE CAPITAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
GREAT WATERS FINANCIAL
OSAIC INSTITUTIONS, INC.
GRADIENT WEALTH MANAGEMENT

Other Investors

MICHAEL JAMES BARRETT
ANDREW PAUL SWEERE
SCOTT FRED MOLLER
MACLAY MARTIN SWANSON
BETH ELLEN WILLS
JENNIFER MELISSA RAY
MARK JOSEPH SOBIECH
MATTHEW DOUGLAS BREWERS

Other Offices

BRIGHT ANGEL ADVISORS LLC · ST. PAUL, MN
HERITAGE CAPITAL ADVISORS, LLC · ST PAUL, MN
AMERIPRISE FINANCIAL SERVICES, LLC · Arden Hills, MN
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · ARDEN HILLS, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · Arden Hills, MN
GREAT WATERS FINANCIAL · SHOREVIEW, MN
OSAIC INSTITUTIONS, INC. · Shoreview, MN
GRADIENT WEALTH MANAGEMENT · ARDEN HILLS, MN

More in Arden Hills, MN

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