AF
Annette E. Findling
HIGHPOINT PLANNING PARTNERS
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 2293189
AF
Professional summary
Annette Erika Findling, CFP®, who also goes by Annette Erika Koch, is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Chicago, Illinois and LPL FINANCIAL LLC located in Chicago, Illinois.
Annette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Annette has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Annette Erika Koch
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. 12/24/2013: Stonebridge Wealth Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent 2. 10/30/2014: Leaders Partners Inc - Non-Variable Insurance - Investment Related - 980 N. Michigan Avenue #1245 Chicago, IL 60611 - Start 10/23/2014 - 1 Hr/Mo; 1 Hour(s) During Securities Trading - Life, Disability, LTC, Fixed Annuities 3. 8/9/2017: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/19/2017 - 2 Hours Per Month During Securities Trading - Disability insurance. 4. 8/10/2017 - Health and group Insurance - Investment Related - At Reported Business Location(s) - Other-Non-Variable Insurance Trails Only - Started 12/20/2013 - 1 Hour Per Month During Securities Trading. 5. 1/19/2018 - Rich Women Rock - Not Investment Related - No Specific Location - Other-Speaker/Seminar - Start Date: 2/1/2018 - 2 Hours Per Month/1 Hour During Trading. 6. 1/19/2018 - Rich Women Rock - Not Investment Related - No Specific Location - Other-Blog - Start Date: 11/15/2015 - 3 Hours Per Month/1 Hour During Trading. 7. 5/13/2021 - HighPoint Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/15/2014 - 80 Hours Per Month/40 Hours During Securities Trading. 8. 5/13/2021 - HighPoint Advisor Group, LLC - DBA: Stonebridge Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 07/15/2014 - 80 Hours Per Month/40 Hours During Securities Trading. 9. 07/30/2024 - Stonebridge Wealth Advisors Legacy Holding Co LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 160 Hours per Month/ 8 Hours During Trading 10. 07/30/2024 - Stonebridge Wealth Advisors Legacy LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 160 Hours per Month/ 8 Hours During Trading 11. 07/30/2024 - Stonebridge Wealth Advisors Holding Co LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 160 Hours per Month/ 8 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Annette Erika Findling's CRS (Customer Relationship Summary).
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: 2006
Experience
Current
December 9, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #1: 77 W Wacker Drive Suite 4500, Chicago, IL 60601RIA
CRD#: 316636
Chicago, IL
Current
December 23, 2013 - Present
LPL FINANCIAL LLC
Office #1: 77 W Wacker Dr Ste 4500, Chicago, IL 60601RIA
BD
CRD#: 6413
Chicago, IL
Past
January 17, 2013 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
CHICAGO, IL
Past
January 18, 2005 - May 9, 2011
MIDWEST PROFESSIONAL PLANNERS, LTD.
RIA
CRD#: 112995
DEERFIELD, IL
Past
May 14, 1999 - December 21, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DEERFIELD, IL
Past
December 17, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 17, 1992 - December 21, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
DEERFIELD, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/13/2020)
RR
California(2/7/2014)
RR
Connecticut(12/8/2017)
RR
Georgia(8/23/2025)
RR
Illinois(12/23/2013)
IAR
Illinois(12/17/2021)
RR
Massachusetts(9/19/2017)
RR
Michigan(11/30/2020)
RR
Missouri(1/23/2020)
RR
North Carolina(7/22/2021)
RR
Ohio(4/30/2024)
RR
Pennsylvania(10/12/2020)
RR
South Carolina(10/20/2020)
RR
Tennessee(9/24/2015)
RR
Texas(1/23/2020)
IAR
Texas(12/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
