Katrina M. Welker
ROOTED PLANNING GROUP
Corning, NY 14830
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CRD#: 5002125
Professional summary
Katrina Marie Welker, CFP®, who also goes by Katrina Marie Warriner, Katrina Warriner, is a registered financial advisor currently at ROOTED PLANNING GROUP located in Corning, New York.
Katrina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Katrina has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Biography
I enjoy helping clients understand their finances and how to use their resources to live their ideal lives. I spent years working in a world that only focused on the investments and I found myself constantly wanting to do more for my clients. The investments are a piece of your puzzle, but I want to look at the big picture made up of all the pieces.
I joined Rooted Planning Group to be able to offer comprehensive advice to my clients. Working with a team of financial planners lets me focus on building client relationships while bringing the knowledge and experience of the group to the table.
I specialize in working with small business owners as well as busy working families. I was raised by hard working parents who both owned their own businesses, so I intimately understand what that lifestyle entails; the struggles, the responsibility, and the freedom. My current life can be summarized by busy working family; balancing careers, time, finances, and children is a reality I understand.
I have a bachelor’s degree in financial planning from Alfred State College. I have been in the financial services industry for 14 years and have also worked as a tax accountant during that time building an extensive tax background.
A little about me: I grew up in a small town in Western, NY where I chose to continue to live with my husband and two children. We are lucky to spend a lot of our time occupied by community activities, church, and our family. I love to travel, get lost in books, and savor time with my family.
Question & Answer
What are your service offerings?
Debt Management
Small Business Planning
Tax Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Retirement Planning
Do you have an area of expertise or specialization?
Business Owners
Cash Flow/Budgets/Credit Issue...
Entrepreneurs
Fixed Fee (Subscription, Retai...
Hourly
Middle Income Client Needs
Are you a "fiduciary"?
Yes
Aliases
Katrina Marie Warriner | Katrina Warriner
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.
Ms. Welker volunteers for the free financial helpline of Savvy Ladies. Ms. Welker does not receive compensation for the services she provides; she spends approximately two (2) hours per month in this capacity. This outside business activity is not connected to Rooted Planning Group. Ms. Welker volunteers for the Advisory Board for the Financial Planning Program at Alfred State College. Ms. Welker does not receive compensation for the services she provides; she spends approximately two (2) hours per year at the annual board meeting . This outside business activity is not connected to Rooted Planning Group.
CRS (Client Relationship Summary) - RIA
Click below to view Katrina Marie Welker'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: 2018
Experience
Current
June 4, 2018 - Present
ROOTED PLANNING GROUP
Office #1: 10 East Market Street, Corning, NY 14830RIA
CRD#: 284120
Corning, NY
Past
November 16, 2010 - February 1, 2018
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
AVOCA, NY
Past
August 29, 2008 - April 3, 2009
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WELLSVILLE, NY
Past
October 3, 2006 - September 26, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WELLSVILLE, NY
Past
August 11, 2005 - July 5, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WILLIAMSVILLE, NY
Past
August 11, 2005 - July 5, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WILLIAMSVILLE, NY
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".
ROOTED PLANNING GROUP
IRVINE WEALTH PLANNING STRATEGIES, LLC | ROOTED PLANNING GROUP
CRD#: 284120 / SEC#: 801-112546
RIA
Registered Investment Advisory firm - (3/1/2018 Approved)Florida
Registered Investment Advisory firm - (6/6/2018 Terminated)New York
Registered Investment Advisory firm - (6/6/2018 Terminated)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
California(6/30/2020)
IAR
Florida(6/4/2018)
IAR
Illinois(1/24/2025)
IAR
Massachusetts(5/4/2022)
IAR
New York(8/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
ROOTED PLANNING GROUP
IRVINE WEALTH PLANNING STRATEGIES, LLC | ROOTED PLANNING GROUP
CRD#: 284120 / SEC#: 801-112546
RIA
Registered Investment Advisory firm - (3/1/2018 Approved)Florida
Registered Investment Advisory firm - (6/6/2018 Terminated)New York
Registered Investment Advisory firm - (6/6/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 East Market Street, Corning, NY 14830
Mailing Address
Phone number
(607) 438-2761
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 705 |
| AUM (Assets Under Management) | $ 117,735,789 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
