Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Elizabeth Konicek is a financial professional with over 14 years of experience in the financial services industry. Catherine has worked with various firms, including RBC Wealth Management, Hawkins Wealth Management, Berthel, Fisher & Company Financial Services, Inc., BFC Planning, Inc., and Securities Management and Research, Inc., before joining Robert W. Baird & Co. Inc. in 2021. Catherine is registered with the state of Iowa and holds multiple licenses and certifications, including Series 66, Series 10, Series 9, SIE, and Series 7. Catherine specializes in providing financial advice to individuals, families, and businesses. Catherine is committed to helping her clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
IA
02/24/2021 - Present
Robert W. Baird & Co. Inc. (CEDAR RAPIDS IA)
IA
06/25/2019 - 02/19/2021
SECURITIES MANAGEMENT & RESEARCH, INC. (CEDAR RAPIDS IA)
IA
05/09/2019 - 02/19/2021
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (Cedar Rapids IA)
IA
09/01/2010 - 08/22/2017
RBC CAPITAL MARKETS, LLC (CEDAR RAPIDS IA)
BOTH
Issued 03/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/18/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/15/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/22/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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