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Detailed Report
ANNETTE ERIKA FINDLING
ANNETTE ERIKA KOCH
CRD#: 2293189
IA
Investment Adviser
B
Broker
HIGHPOINT PLANNING PARTNERSCRD#: 316636 AUSTIN, TX
LPL FINANCIAL LLCCRD#: 6413 77 W WACKER DR STE 4500
CHICAGO, IL 60601
Registration History
1995200020052010201520202025IAHIGHPOINT PLANNING PARTNERS (CRD# 316636)2021 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2013 - Present (11 years)BAXA ADVISORS, LLC (CRD# 6627)1992 - 2012 (20 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1992 - 2000 (7 years)IAHIGHPOINT PLANNING PARTNERS (CRD# 163768)2013 - 2021 (8 years)IAAXA ADVISORS, LLC (CRD# 6627)1999 - 2012 (13 years)IAMIDWEST PROFESSIONAL PLANNERS,... (CRD# 112995)2005 - 2011 (6 years)
License(s)

State Registrations

B
Arizona 2/13/2020
B
North Carolina 7/22/2021
B
California 2/7/2014
B
Ohio 4/30/2024
B
Connecticut 12/8/2017
B
Pennsylvania 10/12/2020
B
Illinois 12/23/2013
B
South Carolina 10/20/2020
IA
Illinois 12/17/2021
B
Tennessee 9/24/2015
B
Massachusetts 9/19/2017
B
Texas 1/23/2020
B
Michigan 11/30/2020
IA
Texas 12/9/2021
B
Missouri 1/23/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HIGHPOINT PLANNING PARTNERS (CRD#:316636)
AUSTIN, TX
77 W Wacker Drive Suite 4500, Chicago, IL 60601
Registered with this firm since 12/9/2021
B
LPL FINANCIAL LLC (CRD#:6413)
77 W WACKER DR STE 4500, CHICAGO, IL 60601
AUSTIN, TX
Registered with this firm since 12/23/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2013 - 12/31/2021 HIGHPOINT PLANNING PARTNERS (CRD#:163768) CHICAGO, IL
IA
 05/14/1999 - 12/21/2012 AXA ADVISORS, LLC (CRD#:6627) DEERFIELD, IL
B
 12/17/1992 - 12/21/2012 AXA ADVISORS, LLC (CRD#:6627) DEERFIELD, IL
IA
 01/18/2005 - 05/09/2011 MIDWEST PROFESSIONAL PLANNERS, LTD. (CRD#:112995) DEERFIELD, IL
B
 12/17/1992 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.