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Current Employers
Lucas Group Financial Advisors, Llc

1753 S. West Avenue, Freeport, IL 61032 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-09-22
IL RA APPROVED 2025-08-22
WI RA APPROVED 2025-08-22
  • FL RA
    APPROVED
    Since 2025-09-22
  • IL RA
    APPROVED
    Since 2025-08-22
  • WI RA
    APPROVED
    Since 2025-08-22

Branch Locations

1617 Temple Lane, Rockford, IL 61112 • United States

1753 S. West Avenue, Freeport, IL 61032 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Regulus Financial Group, Llc Kentwood MI 03/2017 08/2025
Regal Investment Advisors Kentwood MI 03/2017 09/2025
Lucas Group Financial Advisors, Llc Rockford IL 08/2025 Present
Axa Advisors, Llc New York NY 08/2014 02/2018
  • 03/2017 → 08/2025
    Regulus Financial Group, Llc
    Kentwood, MI
  • 03/2017 → 09/2025
    Regal Investment Advisors
    Kentwood, MI
  • 08/2025 → Present
    Rockford, IL
  • 08/2014 → 02/2018
    Axa Advisors, Llc
    New York, NY
Previous Registrations
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
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-18
  • S66 Uniform Combined State Law Examination
    2014-11-18
Designations
Other Names
  • Katherine Kleinmaier
  • Katherine Downing
  • Katherine Alicia Kleinmaier

View on SEC IAPD

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