Cetera Investment Advisers LLC

Investment Advisor
in Saratoga Springs, NY

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About this Advisor

Catherine Harris is an investment advisor whose office is in Saratoga Springs, New York. Currently a registered advisor with Cetera Investment Advisers LLC, Harris has 10 years of professional experience as a registered advisor. Harris maintains Series 63 and Series 66 licenses, qualifying the advisor as a securities broker. Harris is able to act as a financial advisor in Florida, New Hampshire and Vermont. During their career, the advisor has held roles at Lorraine Holdings Inc Dba The Mine, Cetera Investment Advisers LLC, Cetera Financial Specialists LLC, Chs Wealth Management & Cpas, Becker Professional Education and Spaulding & Harris. Cetera Investment Advisers LLC is headquartered in Saratoga Springs, New York, and operates out of 1,614 brick-and-mortar locations across the country. As a registered investment advisory firm, Cetera Investment Advisers LLC oversees $16 billion in assets covering 78,591 client accounts and retains more than 2,358 people. The amount of assets the firm manages makes it one of the largest financial advisory firms in the nation. The firm manages 70,273 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 19% of the investment firm's customers are high-net-worth individuals, meaning they have over $1 million in investable assets. Cetera Investment Advisers LLC can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. The firm's fees may include asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 66

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees



Office Location

63 Putnam Street Suite 204
Saratoga Springs, NY 12866

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Cetera Investment Advisers LLC Brokerage Details

Total Assets Under Management


NY Average: $6,674,516,078
Total Number of Employees


NY Average: 44
Total Number of Accounts


NY Average: 2,564
Average Account Size


NY Average: $2,603,165

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Catherine Harris Work History

Catherine has 10 years of experience.

2013 - Present (8 years)

Chs Wealth Management & Cpas

2013 - Present (8 years)

Chs Wealth Management & Cpas

2013 - Present (8 years)

Chs Wealth Management & Cpas

2010 - Present (11 years)

Cetera Investment Advisers LLC

2010 - Present (11 years)

Cetera Financial Specialists LLC

2013 - 2018 (5 years)

Spaulding & Harris

2010 - 2014 (4 years)

Lorraine Holdings Inc Dba The Mine

2010 - 2018 (8 years)

Becker Professional Education


Catherine Harris has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Cetera Investment Advisers LLC

John Rollins
Columbus, MS
Jason Mincer
Fairport, NY
David Kluksdal
Garden City, ID
Nicholas Agostino
Boca Raton, FL
Jonathan Ferro
Jacksonville, FL
Jeremy Bader
Kaneohe, HI
Judith Mcdonald
Damariscotta, ME
Vanessa Sopke
Mooresville, IN

This content was compiled from the SEC and FINRA.

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