Katherine M. Forrester

HIGH NOTE WEALTH

Deephaven, MN 55391-3359

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CRD#: 2837901

Professional summary

Katherine Marie Antoinette Forrester, who also goes by Katherine Ma Forrester, Katherine Marie Antionette Forrester, Katherine Forrester Schneewind, Katherine Marie Antionette Forrester Wirth, Katherine Forrester Schneewind, Katherine Marie Antionette Vogel, is a registered financial advisor currently at HIGH NOTE WEALTH, LLC located in Deephaven, Minnesota.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Katherine has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) 11/1996 INDEPENDENT LICENSED INSURANCE AGENT; DEEPHAVEN, MN; NON INVESTMENT RELATED; NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2) 02/28/2022 ENTREBANK, NON INVESTMENT RELATED, 1550 AMERICAN BLVD E, BLOOMINGTON, MINNESOTA 55425, BANK DIRECTOR AND MEMBER, HOURS PER MONTH: 9, HOURS PER MONTH DURING TRADING SECURITIES HOURS: 4, PARTICIPATES IN MONTHLY BANK BOARD AND COMMITTEE MEETINGS AS WELL AS APPROVES LOAN APPLICATIONS OVER $3 MILLION 3) 05/08/2017 ONE DEEPHAVEN LLC; NON INVESTMENT RELATED; 18258 MINNETONKA BOULEVARD, DEEPHAVEN, MINNESOTA 55391, CHIEF MANAGER, SECRETARY AND TREASURER, HOURS PER MONTH:<5, HOURS PER MONTH DURING SECURITIES TRADING HOURS: <5, TRUST IS 90% OWNER OF THE LLC AND RECEIVES MONTHLY AND QUARTERLY RENTAL INCOME AS THE PROPRIETOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Marie Antoinette Forrester's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 20, 2019 - Present

HIGH NOTE WEALTH, LLC

Office #1: 18258 Minnetonka Boulevard Suite 200, Deephaven, MN 55391-3359

RIA

CRD#: 305768

Deephaven, MN

Past

November 4, 2013 - November 21, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Deephaven, MN

Past

January 6, 1998 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 1, 1997 - November 21, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Deephaven, MN

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".

HIGH NOTE WEALTH, LLC

GOLDEN GOPHERS | HIGH NOTE WEALTH, LLC | GOLDEN GOPHERS LLC

CRD#: 305768 / SEC#: 801-117495

RIA

Registered Investment Advisory firm - (11/5/2019 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(11/20/2019)

IAR

Texas
(4/22/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/23/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HIGH NOTE WEALTH, LLC

GOLDEN GOPHERS | HIGH NOTE WEALTH, LLC | GOLDEN GOPHERS LLC

CRD#: 305768 / SEC#: 801-117495

RIA

Registered Investment Advisory firm - (11/5/2019 Approved)

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Contact information

Main Address

18258 Minnetonka Boulevard Suite 200, Deephaven, MN 55391-3359

Mailing Address

Phone number

(952) 224-7970

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGH NOTE WEALTH, LLC - PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,200
AUM (Assets Under Management)	$ 576,194,815

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Katherine M. Forrester

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Marie Antoinette Forrester's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

HIGH NOTE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2007

Series 63

Date: 4/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2004

Series 6

Date: 7/31/1997

Current Firm

HIGH NOTE WEALTH, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGH NOTE WEALTH, LLC

TRUST BUT VERIFY

Contact information

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