Katherine Alicia Downing

Employer firm

Lucas Group Financial Advisors, LLC CRD 326880

$338M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2017 → 08/2025
  Regulus Financial Group, Llc
  Kentwood, MI
• 03/2017 → 09/2025
  Regal Investment Advisors
  Kentwood, MI
• 08/2025 → Present
  Lucas Group Financial Advisors, Llc
  Rockford, IL
• 08/2014 → 02/2018
  Axa Advisors, Llc
  New York, NY

Previous Registrations

• 2018-03-02 → 2025-10-07
  Regal Investment Advisors Llc
  Rockford, IL
  Kentwood, MI
  Freeport, IL
  Rockford, IL
• 2015-01-08 → 2018-03-02
  Equitable Advisors, Llc
  Oak Brook, IL
  Dixon, IL
  Oak Brook, IL

Other Businesses

Name: Lucas Group Financial Advisors; Investment Related: Yes; Location: 1617 Temple Lane Rockford, IL, USA, 61112. Nature of Business: Life Insurance, Annuities; Title: Insurance Agent; Start Date: 8/2014. Time Spent: 1 Hour per week; -0- During Market Hours. Duties: Provide Insurance and Financial Services.

Exams

• S66 Uniform Combined State Law Examination
  2014-11-18

Designations

• Certified Financial Planner

Other Names

• Katherine Kleinmaier
• Katherine Downing
• Katherine Alicia Kleinmaier