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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-02-25 |
| LA | RA | APPROVED | 2024-09-17 |
| KY | RA | APPROVED | 2022-02-10 |
| MI | RA | APPROVED | 2021-11-08 |
| VA | RA | APPROVED | 2021-11-07 |
| IN | RA | APPROVED | 2021-11-05 |
| CA | RA | APPROVED | 2021-11-04 |
| SC | RA | APPROVED | 2021-10-25 |
| GA | RA | APPROVED | 2021-10-22 |
| TX | RA | APPROVED_RES | 2019-02-14 |
| NC | RA | APPROVED | 2019-02-07 |
Branch Locations
2616 Fort St, Charlotte, NC 28205 • 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 |
|---|---|---|---|---|
| Uhlmann Price Securities | Chicago | IL | 06/2015 | 05/2017 |
| Hayden Royal (Previously Great Lakes & Atlantic) | Charlotte | NC | 06/2015 | 02/2019 |
| Niagara International Capital Limited | Clarence | NY | 05/2017 | 06/2018 |
| Jhg Financial | Charlotte | NC | 09/2000 | Present |
| Kingswood Capital Partners, Llc | Charlotte | NC | 06/2018 | Present |
| Kingswood Wealth Advisors, Llc | Charlotte | NC | 02/2019 | Present |
(1) JHG FINANCIAL ADVISORS LLC; CHARLOTTE, NC; INVESTMENT RELATED; START 9/2009; DBA FOR FINANCIAL ADVISORY AND SECURITIES BUSINESS; 200 HRS/MONTH; 140/HRS/MONTH DURING TRADING (2) SELF; CHARLOTTE, NC; NON-INVESTMENT RELATED; START 1/2003; NC NOTARY PUBLIC; ACT AS NOTARY PUBLIC WHEN REQUESTED; 1 HR/MONTH; 1 HR/MONTH DURING TRADING (3) SELF; CHARLOTTE, NC; NON-INVESTMENT RELATED; START 4/2008; LANDLORD/PROPERTY MANAGEMENT; ACT AS PROPERTY MANAGEMENT FOR SECOND HOME THAT I RENT WHEN NOT OCCUPYING IT (4) JHG FINANCIAL ADVISORS LLC; CHARLOTTE, NC; NON-INVESTMENT RELATED; BUILDING OWNER/LANDLORD; ACT AS LANDLORD FOR MY BUILDING IN WHICH I RESIDE AND RENT OFFICES; 1 HR/MONTH; 1 HR/MONTH DURING TRADING (5) SELF; CHARLOTTE, NC; NON-INVESTMENT RELATED; STARTED 3/1997; INDEPENDENT AGENT FOR NON-VARIABLE INSURANCE; 5 HRS/MONTH; 5 HRS/MONTH DURING TRADING (6) Camp Stonefly LLC,Is Not Investment Related,,Rental Income from Camp site rentals,Owner,2016-07-01,4 hours per month,0 hours per month during trading hours,No Compensation Compensation,"Overseeing campground to include hiring Camp Host/Property Mgrs., fielding calls for potential campers, occasional physical labor in upkeep. All financial decisions, rules making, other ancillary duties, as majority 75% Owners"
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-23 |
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