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Detailed Report
KEVIN DOMINIC KLICKNA
KEVIN D KLICKNA
CRD#: 5640324
IA
Investment Adviser
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Previous Broker
IAMS WEALTH MANAGEMENT, LLCCRD#: 286085 Rochester, IL
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)IAIAMS WEALTH MANAGEMENT, LLC (CRD# 286085)2021 - Present (3 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)2013 - 2021 (8 years)IAEQUITABLE ADVISORS, LLC (CRD# 6627)2019 - 2021 (1 year)
Disclosure(s)
View By:
1/4/2023
Regulatory
Final
5/5/2021
Customer Dispute
Settled
4/21/2021
Employment Separation After Allegations
3/9/2020
Customer Dispute
Settled
3/9/2020
Customer Dispute
Settled
License(s)

State Registrations

IA
Illinois 7/23/2021
Current Registration(s)
IA
IAMS WEALTH MANAGEMENT, LLC (CRD#:286085)
Rochester, IL
Registered with this firm since 7/23/2021
Previous Registration(s)
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 06/21/2019 - 04/26/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) SPRINGFIELD, IL
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 01/21/2013 - 04/26/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) SPRINGFIELD, IL
IA
 05/25/2009 - 04/05/2011 AXA ADVISORS, LLC (CRD#:6627) SPRINGFIELD, IL
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 03/30/2009 - 04/05/2011 AXA ADVISORS, LLC (CRD#:6627) SPRINGFIELD, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.