Katherine Phillips
Katherine Phillips is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Kirkland, WA, with 13 years of industry experience. Katherine operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
826 6th Street South, Suite 201, Kirkland, WA, 98033
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
December 2013Other Business ActivitiesSells Insurance
Katherine is an insurance agent offering traditional life insurance and fixed and indexed annuities since 2020. This activity requires about 10-20% of her time, all during trading hours.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Osaic Fa, INC.Broker
Osaic Fa, INC.
Confluence Wealth Management LLC
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations22 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.