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KK

Kevin T. Kauling

FIS BROKERAGE & SECURITIES SERVICES
BOLINGBROOK, IL 60440
Some features on this profile are disabled
CRD#: 8230049
KK
Kevin Thomas KaulingFIS BROKERAGE & SECURITIES SERVICES

Professional summary

Kevin Thomas Kauling is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2026. Kevin has worked at 2 firms and has passed the Series 66, Series 99TO, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Thomas Kauling'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®
None

Experience

Current

June 17, 2026 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440
BD
CRD#: 104162
BOLINGBROOK, IL
Past

March 24, 2026 - June 22, 2026

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
OAK BROOK, IL
Past

March 17, 2026 - June 22, 2026

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
OAK BROOK, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(6/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/17/2026
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162Bolingbrook, IL 60440

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