Katrina Hayes
Katrina Hayes is a CFP-designated registered investment advisor at Prospera Financial Services, INC., based in Matthews, NC, with 25 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
10590 Independence Pointe Pkwy, Suite 300, Matthews, NC, 28105
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Regulatory History (1)
Customer Dispute
July 2021Other 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
Prospera Financial Services, INC.
Previous Registrations
Tca Financial Group, LLCBroker
Tca Financial Group,llc
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Wachovia Securities, INC.Broker
State Registrations20 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.