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Investment Adviser Firm Summary

KCD FINANCIAL, INC. (CRD# 127473 / SEC# 8-66005, 801-110069)
Alternate Names: A4 CAPITAL MANAGEMENT , ARNHOLT INSURANCE AGENCY , BEACON FINANCIAL SERVICES , BENEFITS PLUS , BRADLE INVESTMENT GROUP , CENTRAL FINANCIAL LLC , CENTRAL FINANCIAL SERV OF MO, INC. , CHOOSRI LAO FINANCIAL SERVICES , CHRISTOPHER C. FESS , CORNERSTONE FINANCIAL STRATEGIES , CR FINANCIAL GROUP , DEWITT & DUNN , DLR INVESTMENTS , DUNN FINANCIAL GROUP , E TAX CORPORATION , ELIASON INVESTMENTS , ERIC WALTZ FINANCIAL SOLUTIONS, INC. , FESS FINANCIAL , FIRST PLAN FINANCIAL SERVICES, LLC , FUTURE FINANCIAL , GO GREAT LAKES FINANCIAL, INC. , H & B FINANCIAL GROUP, INC. , HARRIS FINANCIAL , HOWELL & ASSOCIATES ADVANCED PLANNING LLC , INTEGER FINANCIAL SVS. , INTEGRITY INVESTMENTS, INC. , INTEGRITY RETIREMENT PLANS , J G WEALTH MANAGEMENT , JEWELL FINANCIAL SERVICES, INC. , K OATEN FINANCIAL GROUP , KCD FINANCIAL, INC. , KEATING AND ASSOCIATES , LAWRENCE FINANCIAL SERVICES, LLC , MACHTAN FINANCIAL SERVICES GROUP , MAINSTREAM FINANCIAL , MIDWEST ADVANCED PLANNING GROUP , NICOLET INVESTMENT CENTER , OAK BROOK BENEFIT RESOURCES , PAPPAS WEALTH MANAGEMENT , PULSE FINANCIAL SERVICES , R F FINANCIAL , R. L. DAIL INVESTMENTS LLC , REALTY CAPITAL PARTNERS, LLC , SACKS GROUP, INC. , SAFE RETIREMENT ADVOCATES, LLC , SCHUMACHER INVESTMENTS AND MORTGAGE FIRM , SCP CAPITAL MANAGEMENT , SENIOR RESOURCE CONSULTANTS , STEVENS INVESTMENT SERVICES , STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. , SUN CITIES FINANCIAL GROUP , THE STEFFEN INVESTMENT CO., INC. , TUTTLE FINANCIAL , VOGEL FINANCIAL SERVICES , W. D. GUERRE & ASSOCIATES , WALLACE FINANCIALS , WESTMONT FINANCIAL

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/16/2017
Arizona Terminated 03/31/2017
California Terminated 04/30/2017
Colorado Terminated 04/07/2017
Connecticut Terminated 12/12/2011
Florida Terminated 03/31/2017
Idaho Terminated 12/13/2011
Illinois Terminated 03/31/2017
Indiana Terminated 12/31/2007
Kansas Terminated 12/31/2009
Maryland Terminated 04/21/2017
Michigan Terminated 04/12/2017
Minnesota Terminated 04/03/2017
Missouri Terminated 03/31/2017
Montana Terminated 12/12/2011
Nebraska Terminated 03/31/2017
Nevada Terminated 05/01/2017
New Jersey Terminated 04/27/2017
New York Terminated 03/31/2017
North Carolina Terminated 04/03/2017
Ohio Terminated 03/31/2017
Oregon Terminated 06/14/2010
Texas Terminated 03/31/2017
Utah Terminated 11/23/2011
Washington Terminated 04/10/2017
Wisconsin Terminated 03/31/2017

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 04/07/2017
Arkansas 03/31/2017
California 03/31/2017
Colorado 03/31/2017
Florida 03/31/2017
Illinois 03/31/2017
Kansas 03/22/2018
Maryland 03/31/2017
Michigan 03/31/2017
Minnesota 03/31/2017
Missouri 03/31/2017
Nebraska 03/31/2017
Nevada 03/31/2017
New Jersey 04/27/2017
New York 03/31/2017
North Carolina 03/31/2017
Ohio 03/31/2017
South Carolina 03/31/2017
Texas 03/31/2017
Washington 03/31/2017
Wisconsin 03/31/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser