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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
ID RA APPROVED 2025-07-08
NV RA APPROVED 2025-07-08
VA RA APPROVED 2025-07-08
CA RA APPROVED 2025-07-07
NY RA APPROVED 2025-07-07
  • ID RA
    APPROVED
    Since 2025-07-08
  • NV RA
    APPROVED
    Since 2025-07-08
  • VA RA
    APPROVED
    Since 2025-07-08
  • CA RA
    APPROVED
    Since 2025-07-07
  • NY RA
    APPROVED
    Since 2025-07-07

Branch Locations

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

8050 N. Palm Ave Ste 300, Fresno, CA 93711 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Fresno CA 01/2009 08/2020
Cetera Financial Specialists Llc Schaumburg IL 08/2020 07/2025
Cetera Investment Advisers Llc Schaumburg IL 08/2020 07/2025
Kingswood Wealth Advisors, Llc Fresno CA 07/2025 Present
Kingswood Capital Partners, Llc Fresno CA 07/2025 Present
Previous Registrations
  • 2020-08-26 → 2025-07-14
    Fresno, CA
    Fresno, CA
  • 2009-01-20 → 2020-09-01
    Fresno, CA
    San Diego, CA
    Fresno, CA
  • 2002-10-25 → 2009-01-21
    Raymond James Financial Services, Inc.
    Fresno, CA
Other Businesses

1) Tarkenton Financial,Is Not Investment Related,"8050 N Palm Ave, Suite 300, Fresno, CA, 93711, United States",Life Insurance and FIA Sales,Life Agent,10/1/2025,10 hours per month,0 hours per month during trading hours,Commission Compensation,Insurance and Fixed Annuities/Fixed Index Annuities Sales Agent 2) Adnan Hussain,Is Not Investment Related,"8050 N Palm Ave, Ste. 300, , Fresno, CA, 93611-7086, United States",Life Insurance and FIA Sales,Life Agent,7/15/2026,10 hours per month,0 hours per month during trading hours,Commission Compensation,"Nationwide Insurance appointed me as a Direct Life Agent to be able to sell their life insurance, their fixed annuity, and their fixed index annuities. We are free to choose whoever we want to place insurance business with. I will NOT be placing any RILA or Variable Annuity business directly through Nationwide as that business will be placed through Kingswood Capital Partners and KW will be the broker/dealer of record on those. This is strictly with Nationwide Direct/Annexus (annexus helps with marketing needs of Nationwide's FIA. I have conducted the Product Training on the Nationwide FIA and it is on record with them."

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-14
S63 Uniform Securities Agent State Law Examination 1991-02-19
  • S65 Uniform Investment Adviser Law Examination
    1994-02-14
  • S63 Uniform Securities Agent State Law Examination
    1991-02-19

View on SEC IAPD

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