Katie Thomas, financial advisor Dubuque IA
92 score

Katie Thomas

CRD Number: 5890905
Current Firm: Honkamp Krueger Financial Services Inc.

Katie Thomas (CRD# 5890905) is an Investment Advisor Representative working at Honkamp Krueger Financial Services Inc. in Dubuque, IA and has over 3 years of experience in the finance industry. Katie Thomas has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Proequities Inc. Dubuque, IA Sep 2013 - Current 3
Honkamp Krueger Financial Services Dubuque, IA Mar 2011 - Current 5
Honkamp Krueger & Company Dubuque, IA Sep 2004 - Current 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2013
Contact Info for Katie J. Thomas
Phone Number: 563-582-2855
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    2,334
    MILLIONS
  • Total Number of Accounts
    7,100
    ACCOUNTS
  • Average Account Value
    $328,708
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AR, AZ, CA, CO, FL, GA, HI, IA, IL, IN, KS, KY, MA, MI, MN, MO, MT, NC, ND, NE, NM, NV, NY, OH, OR, SC, SD, TN, TX, VA, WA, WI

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BADGES
92
Clean Record
This advisor has a clean track record with regulators.

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