Katie J. Thomas
AVANTAX PLANNING PARTNERS
DUBUQUE, IA 52002
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CRD#: 5890905
Professional summary
Katie Jo Thomas, CFP®, who also goes by Katie Jo Wernimont, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dubuque, Iowa.
Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Katie has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Jo Wernimont
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) I am a Partner and Accountant with Honkamp Krueger & Co. P.C., a regional public accounting firm. I am located at 2345 JFK Road, Dubuque, IA. I have been with HK & Co. since 09/2004. I work approximately 160 hours a month. I provide services typical of public accounting, which might include tax preparation and planning services, business consulting services, and bookkeeping services, to a variety of different clients and client types. Most of my work is during securities trading hours. My employment is not securities-related or investment-related. (2) I am a Member-Owner of Law Building, LLC., a real estate rental entity. My participation is not securities-related or investment-related. The building owned by the entity is located at 2345 JFK Road, Dubuque, IA 52002. My start date is 01/2013. I devote 1-2 hours a month, primarily during non-securities trading hours. My participation includes attending periodic member meetings. (3) I am on the advisory council for the Loras College CFP Program, a not-for-profit organization located at 1450 Alta Vista St., Dubuque IA 52001. I have participated in this activity since 07/2017. I attend periodic council meetings. I devote approximately 1-2 hours per month to this activity, mostly during non-securities trading hours. (4) I am a Member-Owner of HKP Holdings, LLC., a real estate ownership entity. My participation is not securities-related or investment-related. The LLC. owns interests in the HK Payroll company. My start date is 05/2019. I devote 0 hours a month, primarily during non-securities trading hours. (5) I am a Treasurer for the St. Columbkille Parent Association, a not-for-profit organization located at 1198 Rush Street, Dubuque IA 52003. I have participated in this activity since 09/2017. I report on financial activities in the parent association account, develop budget, attend meetings to discuss things going on in the school. I devote approximately 1-2 hours per month to this activity, mostly during non-securities trading hours. 2) DUBUQUE AREA CHAMBER OF COMMERCE POSITION: Board Member NATURE: I am a board member on the local chamber of commerce. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2023 ADDRESS: 300 Main Street, Suite 200, DUBUQUE IA 52001, United States DESCRIPTION: Attend Chamber meetings and events. Provide feedback regarding business topics in the local area. Serve on the finance committee which is not a governance committee and has nothing to do with investments. 3) DUBUQUE AREA CHAMBER OF COMMERCE POSITION: Board member and Treasurer NATURE: I am a board member on the local chamber of commerce. I became Treasurer on July 1, 2024. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2023 ADDRESS: 300 Main Street, Suite 200, DUBUQUE IA 52001, United States DESCRIPTION: Attend Chamber meetings and events. Provide feedback regarding business topics in the local area. Serve on the finance committee which is not a governance committee and has nothing to do with investments. I am now also Treasurer. We don't have investments, just bank accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Jo Thomas'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: 2010
Experience
Current
March 8, 2011 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 2345 Jfk Road, Dubuque, IA 52002RIA
CRD#: 106237
DUBUQUE, IA
Past
November 1, 2013 - October 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
DUBUQUE, IA
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".
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 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
Iowa(3/8/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3390 Asbury Road, Dubuque, IA 52002-2801
Mailing Address
Phone number
(563) 582-2855
Established
Firm type
Fiscal year end
# of Employees
254
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,679 |
| AUM (Assets Under Management) | $ 6,933,162,284 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/20/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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