Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Leeper Hooper is an active financial professional with over two decades of experience in the industry. Kathryn is currently registered with Osaic Institutions, Inc. and is based in Des Moines, Iowa. Prior to joining Osaic Institutions, Inc., Kathryn held roles at a number of firms including INVEST FINANCIAL CORPORATION, BROKER DEALER FINANCIAL SERVICES CORP., WELLS FARGO ADVISORS, LLC, and WELLS FARGO INVESTMENTS, LLC. Kathryn holds multiple licenses including Series 7, Series 63, and Series 66. Kathryn has a history of working with individual, corporate, and institutional clients and has experience in financial planning, portfolio management, and other advisory services.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
IA
01/13/2025 - Present
Osaic Institutions, Inc. (Des Moines IA)
IA
05/25/2017 - 12/15/2017
INVEST FINANCIAL CORPORATION (Des Moines IA)
IA
11/10/2011 - 04/25/2016
BROKER DEALER FINANCIAL SERVICES CORP. (WEST DES MOINES IA)
IA
01/03/2011 - 10/05/2011
WELLS FARGO ADVISORS, LLC (CLIVE IA)
IA
12/13/2000 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CLIVE IA)
MN
12/13/2000 - 03/13/2001
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
11/10/1998 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
BOTH
Issued 08/04/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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