KM
KM

Katherine Micek

18 Years of Experience
Deer Park, IL
Broker

Katherine Micek is a registered investment advisor at Raymond James & Associates, INC., based in Deer Park, IL, with 18 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

21925 W. Field Parkway, Suite 206, Deer Park, IL, 60010

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History

Regulatory History
Clean regulatory record

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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Employment History
Current Registrations
Raymond James & Associates, INC.
April 2021 - Present · 5 yrs 1 mo
Raymond James & Associates, INC.Broker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
April 2021 - April 2021 · 0 mos
UBS Financial Services INC.
November 2013 - April 2021 · 7 yrs 5 mos
UBS Financial Services INC.Broker
November 2013 - April 2021 · 7 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2012 - November 2013 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2010 - November 2013 · 3 yrs
Edward JonesBroker
February 2008 - November 2010 · 2 yrs 9 mos
State Registrations1 state
IL
AdvisorBrokerBoth

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
No exam information available for this advisor.