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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
NY RA APPROVED 2021-05-03
CA RA APPROVED 2021-04-07
  • NY RA
    APPROVED
    Since 2021-05-03
  • CA RA
    APPROVED
    Since 2021-04-07

Branch Locations

126 E 56Th St Ste 301, New York, NY 10022 • United States

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
Newbridge Securities Corp New York NY 09/2008 02/2019
Benchmark Investments, Inc. New York NY 02/2019 05/2023
Benchmark Advisory Services Llc New York NY 10/2019 07/2022
Kingswood Capital Partners Llc New York NY 04/2021 Present
Kingswood Wealth Advisors Llc New York NY 04/2021 Present
  • 09/2008 → 02/2019
    Newbridge Securities Corp
    New York, NY
  • 02/2019 → 05/2023
    Benchmark Investments, Inc.
    New York, NY
  • 10/2019 → 07/2022
    New York, NY
  • 04/2021 → Present
    Kingswood Capital Partners Llc
    New York, NY
  • 04/2021 → Present
    New York, NY
Previous Registrations
Other Businesses

1)EAGLE HOLDING LLC,: 17 BATTERY PLACE, NEW YORK, NY, 10004, SOLE PROPRIETORSHIP,PRESIDENT, AN ENTITY SET UP TO MAKE PERSONAL INVESTMENTS THIS INCLUDES SECURITIES, CASH INSTRUMENTS AND REAL ESTATE, STARTED 9/2003(THIS LLC FROM TIME TO TIME MIGHT BE A MEMBER OR MANAGING MEMBER OF ADDITIONAL LLC'S FOR THE PURPOSE OF INVESTING); 4 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 2) Ganet, LLC (DBA):17 BATTERY PLACE, NY,LLC, OWNER/President, TO PAY BILLS ASSOCIATED WITH THE BRANCH, 4 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 3) PROMENADE CONDOMINIUM ASSOCIATION: NEW YORK/2014-TREASURER (AS OF 1/1/18,APPROVING BILLS FOR PAYMENT, MANAGING THE CASH FLOW OF THE CONDO, 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 4) MANHATTAN HARBOR CAPITAL LLC (DBA): DOMESTIC LIMITED LIABILITY COMPANY, 17 BATTERY PLACE, NEW YORK, NEW YORK, CEO,11/2015, MANAGE ALL RELATED ACTIVITIES ASSOCIATED WITH MASTER LEASE FOR NYC OFFICES. Owner of Benchmark Investments. (THIS ENTITY WAS PREVIOUSLY NAMED NOVO CAPITAL ADVISORS). 20 HOURS PER MONTH DURING TRADING HOURS. 5)SAG Marketing, MEMEBER, 17 BATTERY PLACE, NEW YORK, NY; 100% OWNED BY MANHATTAN HARBOR; MARKETING AND RECRUITMENT FOR BENCHMARK INVESTMENTS, INC.; 4 HOURS PER MONTH DURING TRADING HOURS. 6) Kingswood US - Yes, investment related - 17 Battery Place STE 625 NY, NY 10004 - Holding company for broker dealer and RIAs - President - 10hrs/mo - 2hrs/mo during trading hrs - expansion and management 7) redcoat Ventures, not investment related, CEO/MP, 1111 Brickell Ave , Miami Beach 33131 suite 182, Holding company that holds the interest ownership in Kingswood US, 160 hours per week, all during trading, no comp. Start date June 2025 8) Kingswood Global Sponsor II, LLC: - Investment Related - Tower 56 126 E. 56th Street, Suite 22R, New York NY 10022 - Manager of entity to formed make strategic investments - 10/13/25 - 5hrs/mo 9) Kingswood Global Acquisition Corp II - - Investment Related - Tower 56 126 E. 56th Street, Suite 22R, New York NY 10022 - Member of entity to formed make strategic investments - 10/13/25 - 5hrs/mo

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-24
S63 Uniform Securities Agent State Law Examination 1995-01-05
  • S65 Uniform Investment Adviser Law Examination
    2015-03-24
  • S63 Uniform Securities Agent State Law Examination
    1995-01-05
Other Names
  • Mike Nessim

View on SEC IAPD

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