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CFP

Katrina Hayes

Prospera Financial Services, INC.
25 Years of Experience
Matthews, NC
1 DisclosureBroker
View SEC Summary
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Katrina Hayes is a CFP-designated registered investment advisor at Prospera Financial Services, INC., based in Matthews, NC, with 25 years of industry experience. Katrina is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10590 Independence Pointe Pkwy, Suite 300, Matthews, NC, 28105

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2021
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Katrina is involved in several outside business activities, including the Charlotte Mecklenburg Republican Women's Club, Ellevate (Charlotte Chapter), and Cru Inc. She also serves as a board member for Bright Blessings and Cru Inc., dedicating minimal time to these roles.

Employment History
Current Registrations
Prospera Financial Services, INC.Broker
June 2013 - Present · 13 yrs 4 mos
Prospera Financial Services, INC.
June 2013 - Present · 13 yrs 4 mos
Previous Registrations
Tca Financial Group, LLCBroker
September 2004 - June 2013 · 8 yrs 9 mos
Tca Financial Group,llc
September 2004 - June 2013 · 8 yrs 9 mos
Wachovia Securities, LLC
July 2002 - October 2004 · 2 yrs 3 mos
Wachovia Securities, LLCBroker
June 2002 - October 2004 · 2 yrs 4 mos
Wachovia Securities, INC.Broker
January 2001 - June 2002 · 1 yr 5 mos
State Registrations20 states
ALARCACOFLGAILKSLAMIMONCNENYOHSCTNTXVAVirgin Islands
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.
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