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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-04-03 |
| OR | RA | APPROVED | 2025-02-12 |
| IN | RA | APPROVED | 2025-01-31 |
| MA | RA | APPROVED | 2024-03-06 |
| TX | RA | APPROVED | 2024-02-08 |
| GA | RA | APPROVED | 2023-11-13 |
| CO | RA | APPROVED | 2023-05-04 |
| NC | RA | APPROVED | 2023-03-02 |
| AZ | RA | APPROVED | 2023-02-16 |
| NV | RA | APPROVED | 2023-01-27 |
| CA | RA | APPROVED | 2023-01-10 |
| HI | RA | APPROVED | 2023-01-10 |
| NH | RA | APPROVED | 2023-01-10 |
| VA | RA | APPROVED | 2023-01-10 |
| WA | RA | APPROVED | 2023-01-10 |
Branch Locations
3500 Douglas Blvd Suite 150, Roseville, CA 95661 • United States
11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Funds Distributor, Llc | San Francisco | CA | 01/2010 | 03/2018 |
| Wells Fargo Funds Management, Llc | San Francisco | CA | 01/2010 | 03/2018 |
| Hayden Royal | Roseville | CA | 04/2021 | 01/2023 |
| Lord Abbett | Jersey City | NJ | 04/2018 | 04/2021 |
| Kingswood Capital Patners, Llc | San Diego | CA | 05/2021 | Present |
| Kingswood Wealth Advisors, Llc | San Diego | CA | 01/2023 | Present |
1)Boys and Girls Club of Placer County -no -679 Lincoln Way Auburn, CA 95603 -503C -vice president / board member -10 hours per month -none during trading hours -1/1/2018 -Board member responsibilities include planning, policy setting, trusteeship and fund raising. 2) Estate Planning Team - not investment related - 45110 Club Drive Indian Wells CA 92210 - estate planning - none - 3/30/2023 - 4 hours - 0 hours - estate planning team - represent and market the DST (deferred sales trust) through Sutter Wealth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-07 |
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