Kate Baness

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About Kate Baness

Kate Baness knows that it takes critical thinking, persistence, and patience to uncover the path to success in the world of investment planning. In her role as Wealth Advisor at HighPoint Planning Partners, she puts her belief that people should have honest, reliable, and fair resources to tackle life's toughest challenges into practice. Kate draws on her expertise in relationship building towards the goal of HighPoint's mission - provide actually-individualized plans, white-glove service, and clear understanding in everything they do.

Kate gained experience in strategizing and pulling resources together for the clients' benefit at the Walgreens Boot Alliance (corporate) as well as Northwestern Mutual and Wells Fargo Financial Network. She keeps a level head in fraught situations, has a compulsion to solve problems, and is passionate about providing the clients with comprehensible financial education. In addition to all this, she also holds a BS in Business Administration from Valparaiso University and her Series 7, 24 & 66 securities registrations.

Having seen the heartbreaking effects of food insecurity, the detrimental impact of pancreatic cancer, and the hardships of insulin deficiencies, Kate supports non-profits such as Feeding America, PanCAN, and the Sansum Diabetes Research Institute. She grew up in Columbus, OH before moving to the Chicago suburbs for school, where she now is raising a very active family. They do everything together - road trips to well-hidden eateries, frequent visits to parks, family game nights, and a constant stream of seasonal activities! When she manages to get some free time, Kate is a voracious reader, likes to ski, and can often be found on a disc golf course.

See Disclosures

General Information

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

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

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

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

LPL ADV 2A

https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities and advisory services offered through LPL Financial, a registered investment advisor. Member FINRA/SIPC

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Paladin Research Report For:

HighPoint Planning Partners