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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Katrina Helle

Advisor at EDWARD JONES

Waterloo, IA

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Search this name across graphsid dfx:ria:b736eff4-17aa-2b2a-5917-3cedc2f30e2a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2016 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EDWARD JONES
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 2, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 2, 2010
First registration: Mar 18, 2016
Dual registered: yes, broker-dealer
Other names: KATRINA PETERS|KATRINA REED-DOLAN|KATRINA REED|KATRINA JOAN REED|KATRINA JOAN HELLE|Katrina Helle
IAPD individual key: 5771379

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EDWARD JONES	National bd RIA	Nov 20, 2020	n/a	yes	Waterloo, IA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 30, 2020	Dec 7, 2020	no	CEDAR RAPIDS, IA\|FORT MILL, SC\|Cedar Rapids, IA\|DUBUQUE, IA\|Cedar Falls, IA\|Cedar Rapids, IA\|CEDAR RAPIDS, IA\|HIAWATHA, IA\|WATERLOO, IA\|MARION, IA	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 21, 2019	Oct 15, 2020	no	Cedar Rapids, IA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 30, 2019	Sep 10, 2019	no	Cedar Rapids, IA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jan 30, 2019	Sep 10, 2019	no	CEDAR RAPIDS, IA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 25, 2018	Jan 9, 2019	no	OMAHA, NE\|CEDAR RAPIDS, IA\|Cedar Rapids, IA	Previous registration
FBL INVESTMENT MANAGEMENT SERVICES, INC.	Former SEC adviser	Jul 28, 2017	Aug 27, 2018	no	West Des Moines, IA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 25, 2016	Jun 23, 2017	no	CEDAR RAPIDS, IA\|MARION, IA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 18, 2016	Oct 19, 2016	no	CEDAR RAPIDS, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	EDWARD JONES	Dec 7, 2020	Nov 20, 2020	-17	Firm change	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	LPL FINANCIAL LLC	Oct 15, 2020	Sep 30, 2020	-15	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 10, 2019	Nov 21, 2019	72	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 10, 2019	Jan 30, 2019	-223	Channel change	Other
PRUCO SECURITIES, LLC	TD AMERITRADE, INC.	Jan 9, 2019	Jan 30, 2019	21	Firm change	Other
FBL INVESTMENT MANAGEMENT SERVICES, INC.	PRUCO SECURITIES, LLC	Aug 27, 2018	Sep 25, 2018	29	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	FBL INVESTMENT MANAGEMENT SERVICES, INC.	Jun 23, 2017	Jul 28, 2017	35	Firm change	Other
MSI FINANCIAL SERVICES, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Oct 19, 2016	Oct 25, 2016	6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134139:6413:IA:2020-10-15	Oct 15, 2020	Sep 30, 2020	CEDAR RAPIDS, IA	Firm change

Relationships

Registered with (9)

→ EDWARD JONESRegistered adviserregistration: current employment
Nov 20, 2020 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 30, 2020 to Dec 7, 2020factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Nov 21, 2019 to Oct 15, 2020factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 30, 2019 to Sep 10, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 30, 2019 to Sep 10, 2019factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 25, 2018 to Jan 9, 2019factForm ADV
→ FBL INVESTMENT MANAGEMENT SERVICES, INC.Registered adviserregistration: previous registration
Jul 28, 2017 to Aug 27, 2018factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Oct 25, 2016 to Jun 23, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 18, 2016 to Oct 19, 2016factForm ADV

Dated events

No dated event names this entity yet.