Kate Baness knows that it takes critical thinking, persistence, and patience to uncover the path to success in the world of investment planning. In her role as Wealth Advisor at HighPoint Planning Partners, she puts her belief that people should have honest, reliable, and fair resources to tackle life's toughest challenges into practice. Kate draws on her expertise in relationship building towards the goal of HighPoint's mission - provide actually-individualized plans, white-glove service, and clear understanding in everything they do.
Kate gained experience in strategizing and pulling resources together for the clients' benefit at the Walgreens Boot Alliance (corporate) as well as Northwestern Mutual and Wells Fargo Financial Network. She keeps a level head in fraught situations, has a compulsion to solve problems, and is passionate about providing the clients with comprehensible financial education. In addition to all this, she also holds a BS in Business Administration from Valparaiso University and her Series 7, 24 & 66 securities registrations.
Having seen the heartbreaking effects of food insecurity, the detrimental impact of pancreatic cancer, and the hardships of insulin deficiencies, Kate supports non-profits such as Feeding America, PanCAN, and the Sansum Diabetes Research Institute. She grew up in Columbus, OH before moving to the Chicago suburbs for school, where she now is raising a very active family. They do everything together - road trips to well-hidden eateries, frequent visits to parks, family game nights, and a constant stream of seasonal activities! When she manages to get some free time, Kate is a voracious reader, likes to ski, and can often be found on a disc golf course.
As an independent firm, HighPoint Planning Partners has no ties to a corporate parent, investment banking organization or other entity that may present conflicts of interest for our clients. As a result, we have no proprietary products to sell or corporate agenda to fulfill. Our independence allows us to provide you with objective financial guidance and act in your best interests at all times.
General Information |
| Insurance License#: | 18716520 |
| Name of Broker/Dealer: | LPL FINANCIAL LLC |
| States Licensed in: | AZ, CA, FL, IL, IN, OH, TN, TX, WI |
| Work Experience: |
LPL Financial, LLC; Registered Representative
07/2024 - PRESENT Wells Fargo Advisors Financial Network, LLC; Registered Representative 10/2022 - 07/2024 Morgan Stanley; Registered CSA 11/2019 - 10/2022 Northwestern Mutual Investment Services LLC; Financial Representative Associate 11/2017 - 10/2019 |
| Work with the following types of clients: | Individual Investors, Businesses |
| Foreign Languages Serviced: | English |
| Advisory Services Provided: | Financial Planning, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Education Funding and Planning |
Services |
| Investment Types: | Bonds, Mutual Funds, Exchange Traded Funds (ETFs), Stocks |
| Can meet clients in the following ways: | Your Home, Our Office, Our Offices, Phone, Video Conference, Your Office, Email |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Health, Life, HMO, Variable Annuity, Long Term Care, Variable Life, Annuity, Disability, Casualty, Accident |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | $100,000 |
| Compensation Methods: | Based on Assets |
Education |
| Bachelor's of Science - Business Administartion | Valparaiso - Valparaiso, IN 08/01/2011-05/01/2015 |
Disclosures |
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WiserAdvisor provides referrals to financial professionals of LPL Financial, LLC (LPL). WiserAdvisor is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay WiserAdvisor cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. LPL ADV 2A https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf Additional Detailed Disclosures https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
I have a clean record
Criminal Disclosures in Last 5 years:
I have a clean record
| Mon. | 8:00 AM - 5:00 PM |
| Tue. | 8:00 AM - 5:00 PM |
| Wed. | 8:00 AM - 5:00 PM |
| Thu. | 8:00 AM - 5:00 PM |
| Fri. | 8:00 AM - 5:00 PM |
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