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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-09 |
| NJ | RA | APPROVED | 2025-06-02 |
| PA | RA | APPROVED | 2025-05-30 |
Branch Locations
350 E Butler Ave Ste 102, New Britain, PA 18901 • 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 |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | New Britain | PA | 03/2010 | 05/2025 |
| Capital Insurance & Investment Planning | New Britain | PA | 04/2002 | Present |
| Kingswood Capital Partners Llc | New Britain | PA | 05/2025 | Present |
| Kingswood Wealth Advisors | New Britain | PA | 05/2025 | Present |
1) Capital Ins & Invest Planning Inc, Yes, 350 E Butler Ave Ste 102, New Britain, PA 18901, DBA for securities/insurance business, RR/IAR, 04.2002, 200hrs+, All trading hrs, DBA, 2) Quatum Ins Specialist, no, 350 E Butler Ave Ste 102, New Britain, PA 18901, life, health & disability ins agent, general agent 6-10hrs/week, 24-40/mo during trade hrs, sell insurance products through other agencies, 3) Mercer Museum, no, 84 S. Pine St Doylestown, PA 18901, non-profit museum, Rainmaker committee member, 2hrs/mo, 2hrs/mo during trading hrs, assist w/fundraising & museum events 4) PEARL S. BUCK FOUNDATION, MEMBER OF DEVELOPMENT COMMITTEE, ATTEND MEETINGS FOR FUND RAISING, 30 HRS PER YEAR, MEET 1 TIME PER MONTH. 4) Community College of Philadelphia, No, 1700 Spring Garden St, Philly, PA 19130, Community College, Adjunct Professor, 2nd week of Sept, 12hrs/mo, 2hrs/mo during trade hrs, Adjuct professor for Continuing Prof Edu Program 5) Discover Doylestown Bus Assoc, no, State & Pine St, Doylestown, PA, Santa Clause, 45hrs/mo, 8hrs during trade hrs in the winter, dress up as santa claus for community xmas tree activities 6) Friends of Borough Dam, no, non--profit Sponsoring Fishing Derbies, Fundraising Chairman, 3mo/yr, 15hrs, 2hrs during trade hrs, fishing derbies for nursing homes, children etc
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-18 |
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