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Catherine Peters

Gradient Wealth Management
35 Years of Experience
Arden Hills, MN
Broker
View SEC Summary
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Catherine Peters is a registered investment advisor at Gradient Wealth Management, based in Arden Hills, MN, with 35 years of industry experience. Catherine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Estate Planning, and 3 more. Their firm serves 4,553 clients with $610M in assets under management.

Gradient Wealth Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
98 advisors
Number of Clients
4,553 clients
Average Client Portfolio
$134K average
Assets Under Management
$607.9M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is up to 2.00% of assets under management. Fees are negotiable and may vary based on the money manager selected and account size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

4015 Lexington Ave N, 201, Arden Hills, MN, 55126

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Catherine is the Chief Compliance Officer at Gradient Advisors, LLC. This is an investment-related activity and takes nearly all of Catherine's time.

Employment History
Current Registrations
Gradient Securities, LLCBroker
December 2014 - Present · 11 yrs 10 mos
Gradient Advisors, LLC
December 2014 - Present · 11 yrs 10 mos
Previous Registrations
Focus Financial
January 2013 - December 2014 · 1 yr 11 mos
Royal Alliance Associates, INC.Broker
August 2012 - December 2014 · 2 yrs 4 mos
Allied Beacon Partners, INC.Broker
October 2011 - July 2012 · 9 mos
Workman Securities CorporationBroker
February 2007 - September 2011 · 4 yrs 7 mos
Askar CORP.Broker
April 1998 - January 2007 · 8 yrs 9 mos
Pruco Securities CorporationBroker
November 1995 - April 1998 · 2 yrs 5 mos
Arm Securities CorporationBroker
December 1990 - October 1995 · 4 yrs 10 mos
State Registrations1 state
MN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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