KCD FINANCIAL, INC. of GREEN BAY, WI is an SEC-registered investment adviser (CRD 127473). Regulatory assets under management: $202.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Henry Carl Iv Prange | COMMON SHAREHOLDER | — |
| Joel Reid Blumenschein | PRESIDENT | — |
| David Scott Wilson | CHIEF COMPLIANCE OFFICER | — |
| WILSON DONALD SCOTT | ASSISTANT COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| BLUMENSCHEIN JOEL REID | OWNER/PRESIDENT; PRESIDENT | — |
| PRANGE HENRY CARL IV | COMMON SHAREHOLDER | — |
| RASTALL LORI LEA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-11-14 | regulatory | ACTED IN CONTRAVENTION OF SECTION 5 OF THE SECURITIES ACT OF 1933, WILLFULLY VIOLATED SEC RULES 17A-4(B)(4), 17A-4(F)(2), VIOLATED FINRA RULE 2010, NASD RULES 2210, 3010, 3110: THE FIRM WAS AWARE OF REGISTERED REPRESENTATIVES' USE OF CERTIFICATES OF DEPOSIT (CD) ADVERTISEMENTS TO ATTRACT CUSTOMERS T… | Final | $78K |
| 2011-09-28 | regulatory | KCD WAS IN VIOLATION OF NRS 90.310(2), TO WIT, "IT IS UNLAWFUL FOR ANY ISSUER OR ANY BROKER-DEALER LICENSED UNDER THIS CHAPTER TO EMPLOY OR CONTRACT WITH A PERSON AS A SALES REPRESENTATIVE WITHIN THIS STATE UNLESS THE SALES REPRESENTATIVE IS LICENSED OR EXEMPT FROM LICENSING UNDER THIS CHAPTER." KCD… | Final | $62K |
| — | regulatory | — | — | — |