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Katherine Alicia Downing

Katherine A. Downing

LUCAS GROUP FINANCIAL ADVISORS
ROCKFORD, IL 61112
Some features on this profile are disabled
CRD#: 6356441
Katherine Alicia Downing

Professional summary

Katherine Alicia Downing, CFP®, who also goes by Katherine Downing, Katherine Alicia Kleinmaier, Katherine Kleinmaier, is a registered financial advisor currently at LUCAS GROUP FINANCIAL ADVISORS, LLC located in Rockford, Illinois.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Katherine has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katherine Downing | Katherine Alicia Kleinmaier | Katherine Kleinmaier

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Alicia Downing's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

August 22, 2025 - Present

LUCAS GROUP FINANCIAL ADVISORS, LLC

Office #1: 1617 Temple Lane, Rockford, IL 61112
RIA
CRD#: 326880
ROCKFORD, IL
Past

March 2, 2018 - October 7, 2025

REGAL INVESTMENT ADVISORS LLC

RIA
CRD#: 125004
Rockford, IL
Past

March 2, 2018 - August 26, 2025

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Rockford, IL
Past

January 8, 2015 - March 2, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
OAK BROOK, IL
Past

August 20, 2014 - March 2, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
OAK BROOK, IL

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".
LG
LUCAS GROUP FINANCIAL ADVISORS, LLC
LUCAS GROUP FINANCIAL ADVISORS, LLC | WALLEM ASSOCIATES, INC.

CRD#: 326880 / SEC#: 801-131602

RIA
Registered Investment Advisory firm - (12/10/2024 Approved)
Florida
Registered Investment Advisory firm - (12/18/2024 Terminated)
Illinois
Registered Investment Advisory firm - (12/18/2024 Terminated)
Wisconsin
Registered Investment Advisory firm - (12/18/2024 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
Florida
(9/22/2025)
IAR
Illinois
(8/22/2025)
IAR
Wisconsin
(8/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2014
General Securities Representative Examination

Current Firm

LG
LUCAS GROUP FINANCIAL ADVISORS, LLC
LUCAS GROUP FINANCIAL ADVISORS, LLC | WALLEM ASSOCIATES, INC.

CRD#: 326880 / SEC#: 801-131602

RIA
Registered Investment Advisory firm - (12/10/2024 Approved)
Florida
Registered Investment Advisory firm - (12/18/2024 Terminated)
Illinois
Registered Investment Advisory firm - (12/18/2024 Terminated)
Wisconsin
Registered Investment Advisory firm - (12/18/2024 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1753 S. West Avenue, Freeport, IL 61032
Mailing Address
Phone number
(815) 235-9610
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WALLEM ASSOCIATES, INC. FORM ADV PART 2A (8/20/2025)

Regulatory assets under management

Total Number of Accounts1,115
AUM (Assets Under Management)$ 328,970,832

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

LUCAS GROUP FINANCIAL ADVISORS, LLC

CRD#: 326880Rockford, IL 61112

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