Katie J. Thomas
FRIDAY FINANCIAL
DUBUQUE, IA 52002
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CRD#: 5890905
Katie Jo ThomasFRIDAY FINANCIAL
Professional summary
Katie Jo Thomas, CFP®, who also goes by Katie Jo Wernimont, is a registered financial advisor currently at FRIDAY FINANCIAL located in Dubuque, Iowa.
Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Katie has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Always Fiduciary
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, P.C., a regional public accounting firm. I am located at 2345 JFK Road, Dubuque, IA. I have been with Honkamp P.C. 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 Co. LLP, a real estate rental entity. My participation is not securities-related or investment-related. The entity owns multiple buildings, including one 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 a Member-Owner of HKP Holdings, Inc., a real estate ownership entity. My participation is not securities-related or investment-related. The LLC owns interests in iSolved Group Holdings, LLC. My start date is 05/2019. I devote 0 hours a month, primarily during non-securities trading hours. (4) I am a Member-Owner of HKFS Building Co., LLC,, a real estate rental entity. My participation is not securities-related or investment-related. The entity own the building located at 3390 Asbury, 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 overseeing and managing rental property. (5) I am a Vice President and Board Member of HP Investments of America, Inc. My participation is not securities-related or investment-related. The entity owns interests in Honkamp Payroll, LLC. Through this role I also attend board meetings of Honkamp Payroll, LLC. My start date is 12/2023. I devote 1 hours a month, primarily during non-securities trading hours. (6) I am a board member and Vice-Chair of CPAmerica. My participation is not securities-related or investment-related. My start date is 01/2025. I devote 3 hours per month, primarily during non-securities trading hours. I attend board meetings, assist the chair as needed, and provide support to the CEO.
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
September 17, 2026 - Present
FRIDAY FINANCIAL
Office #1: 2345 Jfk Road, Dubuque, IA 52002RIA
CRD#: 329748
DUBUQUE, IA
Past
November 1, 2013 - October 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
DUBUQUE, IA
Past
March 8, 2011 - July 2, 2026
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
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".
FF
FRIDAY FINANCIAL
FRIDAY FINANCIAL | FRIDAY FINANCIAL, INC.
CRD#: 329748 / SEC#: 801-129486
RIA
Registered Investment Advisory firm - (2/9/2024 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(9/17/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FF
FRIDAY FINANCIAL
FRIDAY FINANCIAL | FRIDAY FINANCIAL, INC.
CRD#: 329748 / SEC#: 801-129486
RIA
Registered Investment Advisory firm - (2/9/2024 Approved)Loading...
Contact information
Main Address
600 Star Brewery Drive Suite 400, Dubuque, IA 52001
Mailing Address
Phone number
(563) 552-7526
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 409,324,015 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
