Kathleen Oberneder is a CFP-designated registered investment advisor at Calton & Associates, INC., based in Mequon, WI, with 22 years of industry experience. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 1 more. Their firm serves 5,283 clients with $1.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Calton charges a percentage of your portfolio for investment management, up to 2.60% annually. This fee may be negotiable. The exact fee depends on the representative managing your account and the program you select. You may also incur additional fees from third-party money managers. Calton bills quarterly, either in advance or arrears. You can terminate the agreement with 30 days' notice, and any unearned fees will be refunded. Some clients may be charged performance-based fees.
Location
10556 N. Port Washington Road, Suite 101, Mequon, WI, 53092
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Kathleen is the treasurer for Independent Housing Initiative, Inc., a non-profit organization supporting housing for adults with special needs, since January 2024. She spends minimal time assisting with donations and payments to consultants.
Employment History
Current Registrations
Calton & Associates, INC.Broker
Forefront
Previous Registrations
J.W. Cole Financial, INC.Broker
J. W. Cole Advisors, INC.
LPL Financial LLC
LPL Financial LLCBroker
Northwestern Mutual Investment Services, LLCBroker
Princor Financial Services Corporation
Princor Financial Services CorporationBroker
NFP Securities, INC.Broker
Ogilvie Security Advisors CorporationBroker
Princor Financial Services CorporationBroker
State Registrations4 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.