Kathy Waters is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Golden Valley, MN, with 26 years of industry experience. Kathy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
701 Xenia Avenue South, 170 Fl1, Golden Valley, MN, 55416
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Kathy has 100% ownership of 1TIM6:6, LLC and 33.3% ownership of Rize Wealth Management LLC, dedicating minimal time to the former and a full-time commitment to the latter. She also serves as a trustee at Plymouth Covenant Church, spending minimal time overseeing business affairs, insurance coverage, and facility management.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations29 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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