Katie Thomas has been an investment adviser representative at Friday Financial since September 2026, and is not listed among the firm’s executive officers or direct owners.
Friday Financial, Inc. is a Dubuque, IA firm with $409M under management, 289 clients and 6 advisers in one office, as of its August 2026 filing.
Katie Thomas’ longest registration was 15 years at Avantax Planning Partners, Inc. (2011–2026). Before joining Friday Financial in 2026, Katie Thomas was registered through Avantax Planning Partners, Inc.
- Friday FinancialCurrent– present · under a yearDubuque, IA · Adviser representative · Firm CRD 329748
- Avantax Planning Partners, Inc.– · 15 yearsDubuque, IA · Adviser representative · Firm CRD 106237
Investment adviser representative registrations
Katie Thomas is registered as an investment adviser representative in Iowa, since September 2026.
- IowaSince 17 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 22 November 2013 |
| Series 7 | General Securities Representative Examination | 1 November 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Katie Jo Thomas
- CRD
- 5890905
- Firm
- Friday Financial · CRD 329748
- Office
- 2345 JFK ROAD, Dubuque, IA 52002
- Registration
- Investment adviser registration
- In the industry since
- May 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Katie Thomas work?
Katie Thomas is an investment adviser representative registered through Friday Financial, Inc. since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Katie Thomas a financial advisor?
Yes. Katie Thomas has a current investment-adviser registration in Iowa, through Friday Financial since September 2026.
How many years of experience does Katie Thomas have?
Katie Thomas has 15 years in the financial industry, since May 2011, across 2 adviser firms.
What exams has Katie Thomas passed?
Katie Thomas has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in November 2013. FINRA credited Katie Thomas with the SIE, which began in October 2018.
Where did Katie Thomas work before Friday Financial?
Before Friday Financial, Katie Thomas was registered through Avantax Planning Partners, Inc., March 2011 to July 2026.
Where is Katie Thomas based?
Katie Thomas’ registered office is in Dubuque, IA.
Is Katie Thomas registered with FINRA?
No. Katie Thomas has no current broker registration.
How can I verify Katie Thomas’ record?
Search CRD 5890905 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Katie Thomas’ full registration record.
