Katie L. Hill
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2020 - September 22, 2022
WEALTHPLAN PARTNERS
October 16, 2018 - July 10, 2020
WEALTHPLAN PARTNERS
September 24, 2018 - February 1, 2023
SECURITIES AMERICA, INC.
March 6, 2018 - September 19, 2018
FORESTERS ADVISORY SERVICES, LLC
March 10, 2016 - September 19, 2018
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WEALTHPLAN PARTNERS
CRD#: 305026 / SEC#: 801-117955
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WEALTHPLAN PARTNERS
CRD#: 305026 / SEC#: 801-117955
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,681 |
| AUM (Assets Under Management) | $ 1,120,185,963 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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