DW
David S. Wilson
KCD FINANCIAL
Stratford, CT 06614
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CRD#: 1895701
DW
Professional summary
David Scott Wilson is a registered financial advisor currently at KCD FINANCIAL, INC. located in Stratford, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1- Bass, Guitar, Vocals in a local cover band with occasional gigs outside market hours approximately 4 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view David Scott Wilson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Scott Wilson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2013 - Present
KCD FINANCIAL, INC.
Office #1: 3200 Main Street, Stratford, CT 06614Office #3: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Stratford, CT
Current
January 2, 2013 - Present
KCD FINANCIAL, INC.
Office #1: 3200 Main Street, Stratford, CT 06614Office #3: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Stratford, CT
Past
September 19, 2023 - January 2, 2024
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
BD
CRD#: 8494
ST. PETERSBURG, FL
Past
March 1, 2012 - January 7, 2013
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEENAH, WI
Past
February 29, 2012 - January 7, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEENAH, WI
Past
August 9, 2011 - October 17, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BELVIDERE, IL
Past
August 9, 2011 - October 17, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BELVIDERE, IL
Past
January 1, 2007 - April 13, 2011
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
July 26, 1996 - December 31, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 26, 1996 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 29, 1995 - March 12, 1996
DAVIS DISTRIBUTORS, LLC
BD
CRD#: 7975
TUCSON, AZ
Past
September 4, 1990 - January 17, 1994
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 20, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(10/24/2018)
RR
California(10/24/2018)
IAR
California(10/25/2018)
RR
Colorado(1/2/2013)
RR
District of Columbia(1/27/2022)
RR
Florida(10/24/2018)
IAR
Florida(10/25/2018)
RR
Idaho(1/2/2013)
RR
Illinois(10/24/2018)
IAR
Illinois(10/24/2018)
RR
Indiana(1/2/2013)
RR
Louisiana(1/2/2013)
RR
Michigan(10/24/2018)
RR
Minnesota(1/2/2013)
RR
Missouri(10/24/2018)
RR
Montana(2/9/2022)
RR
Nebraska(1/2/2013)
RR
Nevada(1/2/2013)
RR
New Hampshire(4/5/2021)
RR
New Mexico(1/2/2013)
RR
North Carolina(10/25/2018)
RR
Ohio(1/2/2013)
RR
Pennsylvania(9/3/2015)
RR
Puerto Rico(8/22/2023)
RR
South Dakota(1/2/2013)
RR
Texas(10/24/2018)
IAR
Texas(10/24/2018)
RR
Utah(10/24/2018)
RR
Washington(10/24/2018)
RR
West Virginia(1/30/2013)
RR
Wisconsin(1/2/2013)
IAR
Wisconsin(1/2/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/19/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3061 Allied Street Suite B, Green Bay, WI 54304
Mailing Address
3061 Allied Street Suite B, Green Bay, WI 54304
Phone number
(920) 347-3400
Established
Wisconsin since 05/19/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (28 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 182,585,838 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KCD FINANCIAL, INC.
CRD#: 127473Stratford, CT 06614TRUST BUT VERIFY
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Contact information
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