CM
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Cathy Maestas
11 Years of Experience
Northglenn, CO
Broker
Cathy Maestas is a registered investment advisor at Cetera Investment Advisers LLC, based in Northglenn, CO, with 11 years of industry experience. Cathy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
930 Kennedy Dr, Northglenn, CO, 80234
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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.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Investment Services LLC
December 2021 - Present · 4 yrs 5 mos
Cetera Investment Services LLCBroker
December 2021 - Present · 4 yrs 5 mos
Cetera Financial Specialists LLCBroker
July 2021 - Present · 4 yrs 10 mos
Cetera Financial Specialists LLC
July 2021 - Present · 4 yrs 10 mos
Cetera Wealth Services, LLC
July 2021 - Present · 4 yrs 10 mos
Cetera Wealth Services, LLCBroker
July 2021 - Present · 4 yrs 10 mos
Cetera Advisors LLCBroker
April 2014 - Present · 12 yrs 1 mo
Cetera Advisors LLC
April 2014 - Present · 12 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
December 2021 - June 2023 · 1 yr 6 mos
First Allied Securities, INC.Broker
March 2019 - September 2022 · 3 yrs 6 mos
Summit Brokerage Services, INC.Broker
August 2018 - December 2019 · 1 yr 4 mos
Cetera Advisors LLC
August 2014 - December 2021 · 7 yrs 4 mos
State Registrations2 states
CACO
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.