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11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2023-08-02 |
| PA | RA | APPROVED | 2022-03-10 |
| FL | RA | APPROVED | 2022-02-15 |
| NH | RA | APPROVED | 2022-02-15 |
| OH | RA | APPROVED | 2022-01-23 |
| AZ | RA | APPROVED | 2021-11-08 |
| MI | RA | APPROVED | 2021-11-05 |
| SC | RA | APPROVED | 2021-10-25 |
| NC | RA | APPROVED | 2021-10-21 |
| NY | RA | APPROVED | 2021-08-19 |
Branch Locations
728 Weiland Rd, Rochester, NY 14626 • United States
11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Rochester | NY | 03/2003 | 08/2021 |
| Defreze Financial Services | Rochester | NY | 03/2005 | Present |
| Kingswood Capital Partners, Llc | San Diego | CA | 08/2021 | Present |
| Kingswood Wealth Advisors, Llc | San Diego | CA | 08/2021 | Present |
1) DeFreze Financial Services -yes -728 Weiland Road, Rochester, NY 14626 -Financial Services -owner -11/1/98 -160 hours -140 hours All - operations, administration, management, client services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1987-04-23 |
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