Katherine Newton
Some features on this profile are disabled
CRD#: 1026401
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katherine Newton, CFP®, who also goes by Katherine (skillman) Newton, Katherine Skillman Newton, Katherine Newton, Kathy Newton, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1981. Katherine had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Katherine has a wealth of experience and knowledge, a love of financial planning, and a passion for serving her clients, staying the course with them through all of life’s transitions. Starting in the financial services industry in 1981 with a regional brokerage firm, she moved to an independent financial advisory firm in 1985. She has consistently acted with a fiduciary obligation towards her clients. Her services include financial and transition planning, wealth management, tax and estate planning, and charitable giving. She understands the challenges of going through a major life transition such as retirement, death of a partner/spouse, divorce, receiving a family inheritance, or selling a business. She melds the personal side of money with the technical side and then partners with her clients, co-creating personalized strategies for each client designed to render them financially confident and personally well-grounded. In her personal time, Katherine enjoys travel and pilgrimage. A world explorer and adventurer at heart, she has walked many treks including the northern route of the Camino de Santiago in Spain, the Via Francigena in Italy, and the West Highland Way in Scotland. She also enjoys spending time with her family, reading, and designing.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Investment Planning
Estate Planning
Business Succession Planning
Retirement Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
No
Aliases
Katherine (skillman) Newton | Katherine Skillman Newton | Katherine Newton | Kathy Newton
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 10/2004 - DBA for LPL Business (entity for LPL business) - WAITE FINANCIAL, LLC - Investment Related - Charlotte, NC 28211 2) 11/2021 - DBA for LPL Business (entity for LPL business) - WEALTH ENHANCEMENT GROUP - Investment Related - Charlotte, NC 28211 3) 11/2021 - Act in a Fiduciary Capacity - POA - Investment Related - Charlotte, NC 28211 4) 2010 - Other (Writer) - CAROLINA MOUNTAIN LIVING - Investment Related - Charlotte, NC 28211 5) 12/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2021 - 40 Hours Per Month/8 Hours During Securities Trading - Time Spent 95% - I provide investment advisory services through Wealth Enhancement Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
January 20, 2022 - July 1, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
HICKORY, NC
Past
December 1, 2021 - July 1, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
HICKORY, NC
Past
November 30, 2021 - June 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
HICKORY, NC
Past
September 3, 2015 - December 8, 2021
CARROLL FINANCIAL ASSOCIATES INC
RIA
CRD#: 105427
HICKORY, NC
Past
December 31, 2001 - September 1, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HICKORY, NC
Past
August 28, 2001 - December 3, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HICKORY, NC
Past
June 22, 2001 - September 22, 2001
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
November 24, 2000 - February 20, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 3, 1989 - February 22, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 12, 1985 - November 14, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 24, 1981 - August 31, 1984
J.C. BRADFORD & CO.
BD
CRD#: 1287
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Vice President, Financial AdvisorCRD#: 130139TRUST BUT VERIFY
Monitor Katherine Newton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
