Kevin Arthur Wales

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2024-11-18

IL RA
APPROVED

Since 2024-11-18

Branch Locations

Gurnee, IL • United States

520 Lake Cook Road Suite 270, Deerfield, IL 60015 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lincoln Financial Advisors Corporation	Chicago	IL	07/2016	10/2024
Equitable Advisors, Llc	New York	NY	10/2024	Present

07/2016 → 10/2024

Lincoln Financial Advisors Corporation

Chicago, IL
10/2024 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2016-08-25 → 2024-11-06

Osaic Fa, Inc.

Chicago, IL

Other Businesses

Independent Agent - Outside Fixed Insurance Sales. Chelsey Crossing Homeowner's Association, President, neighborhood homeowner's association. Helps with planning for projects, run board meetings, approve projects. Does not sign checks or handle investment reserves. Start date 01/2021, 10 hours per month.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2016-08-22
S65	Uniform Investment Adviser Law Examination	2016-06-01

S63 Uniform Securities Agent State Law Examination

2016-08-22
S65 Uniform Investment Adviser Law Examination

2016-06-01

Other Names

Kevin A Wales

View on SEC IAPD