Regina Unger
Investment Adviser Representative at KCD Financial, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Regina Unger is an investment adviser representative with KCD Financial, Inc. in New Waterford, OH, where they have been registered since 2024. They have worked in the securities industry since 2018 and were previously registered with IPI Wealth Management, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Indiana and Ohio.
Registrations & licenses
- Investment adviser:
- Indiana, Ohio
- Broker:
3 states and territories
Indiana, Ohio, Pennsylvania
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Roster FinancialSep 2014 – Dec 2016Danvers, MA
- Medical MutualNov 2017 – no end date reportedAkron, OH
- North American Co. Life & Health InsuranceJul 2013 – no end date reportedSioux Falls, SD
- United HealthcareJul 2017 – no end date reportedCleveland, OH
- American NationalDec 2014 – no end date reportedGalveston, TX
- Allianz Life Insurance Co.Jan 2013 – no end date reportedMinneapolis, MN
- GamePlan FinancialJan 2017 – Dec 2023Atlanta, GA
- KCD Financial IncJun 2018 – May 2019Green Bay, WI
- KCD Financial IncJan 2024 – no end date reportedGreen Bay, WI
- Protective Life Insurance CompanyNov 2019 – no end date reportedBirmingham, AL
- Symetra Life InsuranceMar 2019 – no end date reportedWest Des Moines, IA
- Assurity Life InsuranceMar 2023 – no end date reportedLincoln, NE
- TransamericaMay 2023 – no end date reportedCedar Rapids, IA
- Prudential Life InsuranceMay 2023 – no end date reportedNewark, NJ
- Oceanview Life InsuranceMay 2023 – no end date reportedGrimes, IA
- National Life Insurance CompanyMay 2023 – no end date reportedMonteplier, VT
- Lincoln FinancialMay 2023 – no end date reportedRadnor, PA
- Clear Springs Life InsuranceMay 2023 – no end date reportedIndianapolis, IN
- Gerber Life InsuranceJun 2023 – no end date reportedFremont, MI
- Americo Financial Life and AnnuityAug 2023 – no end date reportedKansas City, KS
- American Amicable Life InsuranceAug 2023 – no end date reportedWaco, TX
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About KCD Financial, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Firm account minimum
- $25,000 (waivable)
- Up to $100,0002.50%
- $100,000 to $500,0001.50%
- $500,000 to $1,000,0000.75%
- Above $1,000,0000.50%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Brokerage and advisory services for independent financial representatives, including one-on-one support, guidance, and tools to help representatives succeed and grow.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 38
- Offices listed on AdvisorFinder:
- 11
- Main office:
- Green Bay, WI
- Founded:
- 2003
- SEC file number:
- 801-110069
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 11, 2026
View full firm profileOther advisors at KCD Financial, Inc.
Showing 12 of 38 in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Regina Unger has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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