KH
Katie L. Hill
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CRD#: 6608185
KH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katie Lynn Hill, who also goes by Katie Lynn Rawson, Katie Rawson, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2016. Katie had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie Lynn Rawson | Katie Rawson
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.
***KATIE HILL INSURANCE POSITION: Insurance licensee NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/08/2019 ADDRESS: 101 S 108th Ave, 2, Omaha NE 68154 DESCRIPTION: I do not sell insurance and am not currently appointed at any insurance company. My licenses are still active and in good order. I have no intention of selling insurance. ***WEALTHPLAN PARTNERS POSITION: OSJ, CCO and Director of Supervision NATURE: advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/19/2018 ADDRESS: 101 S 108th Ave, 2nd Floor, Omaha NE 68154, United States DESCRIPTION: working in a role of supervision as compliance principal, CCO and OSJ MILESTONE TECHNOLOGIES POSITION: Office Assistant II NATURE: Non investment related. Coordination and event planning for a tech firm. This will be my fulltime job where my work for WPP/SAI will be parttime and not during business hours. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/31/2022 ADDRESS: 14734 Friend Plz, Springfield NE 68059, United States DESCRIPTION: I will be helping with facilities coordination by monitoring packages, deliveries, events and catering WEALTHPLAN PARTNERS POSITION: Principal Support NATURE: advisory. this will be a parttime position as principal support after business hours. I will continue to act as OSJ until my replacement can take over INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/19/2018 ADDRESS: 101 S 108th Ave, 2nd Floor, Omaha NE 68154, United States DESCRIPTION: working in a role of supervision as compliance principal and OSJ. I will no longer be the CCO and will only work new business queues when Deanna is on vacation. My main role will be trade monitor
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 15, 2020 - September 22, 2022
WEALTHPLAN PARTNERS
RIA
CRD#: 305026
OMAHA, NE
Past
October 16, 2018 - July 10, 2020
WEALTHPLAN PARTNERS
RIA
CRD#: 158935
OMAHA, NE
Past
September 24, 2018 - February 1, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
OMAHA, NE
Past
March 6, 2018 - September 19, 2018
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
Ralston, NE
Past
March 10, 2016 - September 19, 2018
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
RALSTON, NE
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".
WP
WEALTHPLAN PARTNERS
COBLE MCCUNE WEALTH MANAGEMENT | WPP HOLDINGS, LLC | WELCH FINANCIAL PLANNING, LLC | WEALTHPLAN PARTNERS, LLC | WEALTHPLAN PARTNERS | WEALTH PLAN ADVANTAGE | WAYPOINT ADVISORS | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | PREFERRED CLIENT GROUP | MORAVEC FINANCIAL ADVISORS, INC. | MASINMISKO | KECHELY WEALTH MANAGEMENT | INDEPENDENT INVESTMENT SERVICES | HAMILTON WEALTH MANAGEMENT | FIT WEALTH ADVISORS | FELTZ WEALTHPLAN
CRD#: 305026 / SEC#: 801-117955
RIA
Registered Investment Advisory firm - (11/25/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WP
WEALTHPLAN PARTNERS
COBLE MCCUNE WEALTH MANAGEMENT | WPP HOLDINGS, LLC | WELCH FINANCIAL PLANNING, LLC | WEALTHPLAN PARTNERS, LLC | WEALTHPLAN PARTNERS | WEALTH PLAN ADVANTAGE | WAYPOINT ADVISORS | VIZIONARY WEALTH MANAGEMENT | THE PREFERRED CLIENT GROUP | PREFERRED CLIENT GROUP | MORAVEC FINANCIAL ADVISORS, INC. | MASINMISKO | KECHELY WEALTH MANAGEMENT | INDEPENDENT INVESTMENT SERVICES | HAMILTON WEALTH MANAGEMENT | FIT WEALTH ADVISORS | FELTZ WEALTHPLAN
CRD#: 305026 / SEC#: 801-117955
RIA
Registered Investment Advisory firm - (11/25/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(402) 691-0200
Established
Firm type
Fiscal year end
# of Employees
58
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,895 |
| AUM (Assets Under Management) | $ 1,271,554,814 |
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.
