BK
Barbara L. Kice
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CRD#: 4379412
BK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barbara Louise Kice, CFP®, who also goes by Barbara Svoboda, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2001. Barbara had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Barbara Svoboda
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. Barbara L. Kice, non investment related, Personal Real Estate Owner, family farm with oil lease, Wichita, KS, Owner, 4/1976, 2 hours per month, zero hours during trading hours, pay bills, maintain property. 2. Barbara L. Kice, investment related, insurance sales, Wichita, KS, Insurance Agent, 10/2019, zero hours per month or during trading hours, sell insurance.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Past
March 15, 2021 - December 19, 2023
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
Wichita, KS
Past
January 13, 2021 - May 18, 2021
SB ADVISORY, LLC
RIA
CRD#: 154680
Wichita, KS
Past
November 22, 2019 - December 19, 2023
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Wichita, KS
Past
January 6, 2014 - December 31, 2020
SB ADVISORY, LLC
RIA
CRD#: 154680
ATLANTA, GA
Past
November 25, 2013 - November 21, 2019
IFS SECURITIES
BD
CRD#: 40375
WICHITA, KS
Past
September 23, 2010 - August 30, 2013
CANTELLA & CO., INC.
RIA
CRD#: 13905
WICHITA, KS
Past
September 23, 2010 - August 30, 2013
CANTELLA & CO., INC.
BD
CRD#: 13905
WICHITA, KS
Past
January 2, 2009 - September 21, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WICHITA, KS
Past
July 29, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
WICHITA, KS
Past
February 13, 2003 - April 13, 2004
TRINITY FINANACIAL SERVICES, INC.
RIA
CRD#: 118173
WICHITA, KS
Past
February 11, 2003 - September 21, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WICHITA, KS
Past
July 6, 2001 - January 31, 2003
WADDELL & REED
RIA
CRD#: 866
WICHITA, KS
Past
May 23, 2001 - January 31, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
