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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-11-07 |
Branch Locations
1500 Rosecrans Blvd Suite 500, Manhattan Beach, CA 90266 • United States
11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corporation | Irvine | CA | 01/2014 | 07/2022 |
| B. Riley Wealth Management | Manhattan Beach | CA | 07/2022 | 11/2022 |
| Kingswood Capital Partners, Llc | Playa Vista | CA | 11/2022 | Present |
| Kingswood Wealth Advisors | Playa Vista | CA | 11/2022 | Present |
1) Project ECHO - not investment related - entrepreneurial concepts for youth/non-profit - board member on the board of directors - 201* - 5 hours - 0 hours - strategic analysis of organizational activities and direction
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-25 |
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