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Current Employers
Kingswood Wealth Advisors, Llc

11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2026-05-06
  • GA RA
    APPROVED
    Since 2026-05-06

Branch Locations

Suwanee, GA • United States

11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • 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
Dempsey Lord Smith, Llc Rome GA 10/2014 11/2025
Cambridge Investment Research, Inc. Fairfield IA 11/2025 05/2026
Dempsey Lord Smith, Llc Rome GA 10/2014 03/2026
Cambridge Investment Research Advisors, Inc. Fairfield IA 11/2025 05/2026
Kingswood Capital Partners Suwanee GA 05/2026 Present
Kingswood Wealth Advisors Suwanee GA 05/2026 Present
Previous Registrations
Other Businesses

1) William Baxter & Associates - Fixed Insurance IMO . 6640 Eastleigh Circle, Suwanee GA 30024, USA . Fixed Insurance Business-Life-Fixed Annuity Disability & LTC . Agent . started 3.2002 . 50 hours monthly . 40 hours monthly

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-01-29
S63 Uniform Securities Agent State Law Examination 2002-01-02
  • S65 Uniform Investment Adviser Law Examination
    2009-01-29
  • S63 Uniform Securities Agent State Law Examination
    2002-01-02

View on SEC IAPD

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