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Rep Transition Handbook

Define your future with KCD

KCD reps meeting at the 2024 conference

Considering a Transition to a New Broker-Dealer?

We understand the importance of finding the right broker-dealer and support system. At KCD, we strive to simplify the transition by backing your business with freedom, independence, expert support, and unparalleled coverage.

See our Rep Transition Handbook for more information and how KCD compares.

Download Now

Why KCD?

See how connection begins at KCD Financial with personalized care, expert compliance assistance, and unique investment opportunities.
LEARN MORE

Transition Process

KCD supports you and your business transition though goal alignment, tailored onboarding, and registration assistance, all at your own pace.
SEE THE STEPS

Join KCD

We’ll help you make the best investment choices for your clients while ensuring you get fair compensation.
MAKE THE SWITCH
KCD is like a family: you are a person, not a number. When I needed to put urgent business through, I got it approved within the day. They are easy to talk to, and always ready to help me and support my business. I feel that my success is guaranteed with a team like no other!
Patty | Representative from Illinois

Become a KCD Representative

No matter what journey brings you to KCD, we’re here to guide you.

Get Started
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3061 Allied Street, Suite B
Green Bay, WI 54304

Office: (920) 347-3400
Inquiries: (262) 436-8712
Fax: (920) 347-3402
info@kcdfinancial.com

Member FINRA & SIPC and a
Registered Investment Advisor

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Define Your Future With KCD

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Amber Klinger

Registrations & Licensing
Amber Klinger is a Recruiter and Registrations & Licensing Representative at KCD Financial, joining the team in February 2024. She brings over eight years of experience from her previous role as the Recruiting and Retention Manager’s Assistant with the Air National Guard, where she served honorably from 2005 to 2013. Amber holds an Associate Degree in Applied Science for AODA Counseling from Waukesha County Technical College (2010) and has a strong background in operations and personnel management.

Alexis Rabas

Administrative Assistant
As the welcoming face at our reception desk, Alexis is dedicated to ensuring seamless communication for clients. She manages incoming calls, connecting individuals with the right team members to address their needs. Additionally, Alexis handles the mailing of statements and important documents while maintaining accurate records. Currently pursuing a bachelor’s degree in Organizational Leadership at the University of Wisconsin-Green Bay, she is excited to embark on her career in this industry and looks forward to growing with KCD!

Linda Paluch

Financial Accountant
With over 45 years of experience in the accounting field, Linda has cultivated a wealth of knowledge and expertise throughout her career. Starting with reception and administrative responsibilities, she quickly became proficient in processing tax returns for both individual and corporate clients. During the challenging times of COVID, she adapted to significant changes, helping her former company navigate a downsizing. Since starting with KCD in January of 2024, Linda has found a welcoming team and an environment that truly values collaboration.

Robert Rivera

Compliance Officer
Robert Rivera is the compliance officer that handles the daily business transactions for the firm. Rob serves as the Hilltop Securities Trading & Operations contact. He has been in the financial services industry since the mid 1990’s. He served as an engineer in the US Army and took Master’s degree courses in Business Administration from Silver Lake College, Manitowoc, WI. This background allows Rob to bring a detailed and organized approach to this position. Rob joined the firm in February of 2019 and holds a series 7, 24 and 66 licenses.

Ben “Barry” Stein

Assistant Compliance Officer
Barry is an assistant compliance officer that helps handles daily business transitions and compliance reporting. His military and accounting background assist him well in is this compliance role. Barry started in the securities industry back in 1984 and ran his own broker dealer in the mid 1990’s. He has a wealth of knowledge that brings to the team having been licensed with series 3,4,8,27,& 55. Currently Barry holds the series 7, 24 & 63. Barry joined the firm in February of 2020.

Cindi Giesler

Office Administrator
Cindi Giesler coordinates our front desk operations with her customer service and administrative skills. Her friendly and professional manner helps set the tone for a positive experience for callers and visitors. Cindi’s experience includes over 35 years as an Administrative Assistant. She has been with KCD since December 2017.

Mark Berndt

Recruiter/Licensing & Registrations Coordinator
Mark Berndt joined KCD in January of 2017 as a member of the back office. He started in the financial services industry in 2000. Mark’s banking background, sales, and customer service experiences make him an approachable resource to representatives. His skills in recruiting and marketing make him an asset in a fluid environment. Mark graduated from the University of Wisconsin Green Bay and holds the following securities registrations: Series 7 & 66.

David Wilson

Chief Compliance Officer
Dave has been licensed in the securities industry since 1988. As the Chief Compliance Officer, he serves KCD well overseeing regulation changes, product due diligence and handling inquires and customer complaints. His extensive background supports KCD reps with practice management, brokerage account problem-solving and service issues to ensure KCD Reps and clients are well taken care of. Dave holds the following securities registrations: Series 7, 24, 53, 63 and 65.

Joel Blumenschein

President & CEO
Joel received his first securities license in 1985. His experience in the securities industry range from start-up brokerage companies to national wire houses. Serving as President & CEO of KCD, he oversees the operations of the firm focusing on new business initiatives and broker relations. Joel graduated from UW-Milwaukee with a Bachelor of Science Degree in Finance and holds the following securities registrations: Series 4, 7, 24, 28,63, 65, 79, and 99. His background includes past Chairman of FINRA District 8 and serving as a former FINRA Advisory Board member.