Kate, Baness
HighPoint Planning Partners
2655 Warrenville RoadSuite 110
Downers Grove, IL 60515
8476009626
About HighPoint Planning Partners
As an independent firm, HighPoint Planning Partners
has no ties to a corporate parent, investment banking
organization or other entity that may present conflicts of
interest for our clients. As a result, we have no proprietary
products to sell or corporate agenda to fulfill. Our
independence allows us to provide you with objective
financial guidance and act in your best interests at all times.
See Disclosures
General Information
Firm Start Year
CRD#
6879554
Firm CRD#
6413
Insurance License#
18716520
Name of Broker/Dealer
LPL FINANCIAL LLC
States Licensed in
AZ, CA, FL, IL, IN, OH, TN, TX, WI
Work Experience
LPL Financial, LLC; Registered Representative
07/2024 - PRESENT
Wells Fargo Advisors Financial Network, LLC; Registered Representative
10/2022 - 07/2024
Morgan Stanley; Registered CSA
11/2019 - 10/2022
Northwestern Mutual Investment Services LLC; Financial Representative Associate
11/2017 - 10/2019
Work with the following types of clients
Businesses, Individual Investors
Foreign Languages Serviced
English
Advisory Services Provided
Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 24, Series 7, Series 66
Insurance and Annuity Licenses
Health, Life, HMO, Variable Annuity, Long Term Care, Variable Life, Annuity, Disability, Casualty, Accident
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$100,000
Compensation Methods
Based on Assets
Education
Bachelor's of Science - Business Administartion
Valparaiso
08/01/2011 -05/01/2015
Disclosures
FinancialPlanners.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialPlanners.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialPlanners.net cash compensation for these referrals, which creates the incentive for FinancialPlanners.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf