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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
CA RA APPROVED 2022-02-23
  • CA RA
    APPROVED
    Since 2022-02-23

Branch Locations

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
Lucia Securities, Llc San Diego CA 05/2011 09/2018
Ne Business Enterprises San Diego CA 07/2012 Present
Chalice Capital Partners, Llc San Diego CA 01/2019 01/2020
Chalice Wealth Advisors, Llc San Diego CA 01/2019 01/2020
Kingswood Capital Partners, Llc San Diego CA 08/2020 Present
Kingswood Wealth Advisors, Llc San Diego CA 01/2022 Present
Benchmark Investments, Llc San Diego CA 05/2022 Present
  • 05/2011 → 09/2018
    Lucia Securities, Llc
    San Diego, CA
  • 07/2012 → Present
    Ne Business Enterprises
    San Diego, CA
  • 01/2019 → 01/2020
    Chalice Capital Partners, Llc
    San Diego, CA
  • 01/2019 → 01/2020
    Chalice Wealth Advisors, Llc
    San Diego, CA
  • 08/2020 → Present
    Kingswood Capital Partners, Llc
    San Diego, CA
  • 01/2022 → Present
    San Diego, CA
  • 05/2022 → Present
    Benchmark Investments, Llc
    San Diego, CA
Previous Registrations
  • 2019-01-31 → 2020-01-08
    San Diego, CA
  • 2010-04-15 → 2018-09-13
    Lucia Capital Group
    San Diego, CA
  • 2006-02-07 → 2010-06-14
    Raymond J. Lucia Companies, Inc.
    San Diego, CA
Other Businesses

1.) NE BUSINESS ENTERPRISES - Not investment related - 13872 Etude Rd, San Diego, CA 92128 - Reserve Studies for HOAs - Principal - 06/2012 - 100 hrs/mo - 40 hrs/mo during trading hrs - visual inspect properties and prepare a reserve funding report for HOAs

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-12
  • S66 Uniform Combined State Law Examination
    2005-12-12
Other Names
  • Nicki Michaels
  • Nicole M Michaels
  • Nicole M English

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