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Stephen Duhr

Investment Adviser Representative at KCD FINANCIAL, INC.

Bayside, WICRD #2928362Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
2 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
IllinoisWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/13/2001
Series 63
Uniform Securities Agent State Law Examination
Passed 8/21/1997
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/7/1997
Series 52
Municipal Securities Representative Examination
Passed 8/14/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $100,0002.50%
$100,000 to $500,0001.50%
$500,000 to $1,000,0000.75%
Above $1,000,0000.50%
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

KCD Financial, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KCD FINANCIAL, INC.Current
3/10/2020Bayside, WI
KCD FINANCIAL, INC.Current
9/11/2018Bayside, WI
NORTHLAND ASSET MANAGEMENT
4/9/20084/6/2018Milwaukee, WI
NORTHLAND SECURITIES
1/7/20081/7/2008Milwaukee, WI
FIRST MIDAMERICA INVESTMENT CORPORATION
9/14/200412/31/2007Milwaukee, WI
FIRST MIDAMERICA INVESTMENT CORPORATION
9/13/20049/13/2004Milwaukee, WI
RSM MCGLADREY, INC.
3/5/20034/22/2003Milwaukee, WI

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Duhr 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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