Kate Baness
HighPoint Planning Partners
2655 Warrenville Road
Suite 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
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
Individual Investors, Businesses
Foreign Languages Serviced
English
Advisory Services Provided
Estate Planning & Trusts, Investment Advice & Management, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, 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 66, Series 7, Series 24
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
RothIRA.org provides referrals to financial professionals of LPL Financial, LLC (LPL). RothIRA.org is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RothIRA.org cash compensation for these referrals, which creates the incentive for RothIRA.org 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