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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
NV RA APPROVED 2024-12-10
NY RA APPROVED 2024-12-10
UT RA APPROVED 2023-08-22
CO RA APPROVED 2022-05-13
MI RA APPROVED 2022-01-21
TX RA APPROVED_RES 2022-01-19
CA RA APPROVED 2021-10-05
  • NV RA
    APPROVED
    Since 2024-12-10
  • NY RA
    APPROVED
    Since 2024-12-10
  • UT RA
    APPROVED
    Since 2023-08-22
  • CO RA
    APPROVED
    Since 2022-05-13
  • MI RA
    APPROVED
    Since 2022-01-21
  • TX RA
    APPROVED_RES
    Since 2022-01-19
  • CA RA
    APPROVED
    Since 2021-10-05

Branch Locations

110 E Wilshire Ave Suite 301, Fullerton, CA 92832 • 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
Homemaker Troy MI 09/2013 11/2016
New York Life Insurance Co Southfield MI 11/2016 03/2018
Nylife Securities Llc Southfield MI 01/2017 03/2018
Eagle Securities Llc Southfield MI 02/2018 03/2018
Mass Mutual Life Insurance Company Troy MI 03/2018 01/2019
Mml Investors Services Troy MI 04/2018 01/2019
Mirae Asset Wealth Management (Usa) Inc. Los Angeles CA 02/2019 09/2021
Kingswood Capital Partners, Llc San Deigo CA 10/2021 Present
Kingswood Wealth Advisors, Llc San Diego CA 10/2021 Present
  • 09/2013 → 11/2016
    Homemaker
    Troy, MI
  • 11/2016 → 03/2018
    New York Life Insurance Co
    Southfield, MI
  • 01/2017 → 03/2018
    Nylife Securities Llc
    Southfield, MI
  • 02/2018 → 03/2018
    Eagle Securities Llc
    Southfield, MI
  • 03/2018 → 01/2019
    Mass Mutual Life Insurance Company
    Troy, MI
  • 04/2018 → 01/2019
    Mml Investors Services
    Troy, MI
  • 02/2019 → 09/2021
    Mirae Asset Wealth Management (Usa) Inc.
    Los Angeles, CA
  • 10/2021 → Present
    Kingswood Capital Partners, Llc
    San Deigo, CA
  • 10/2021 → Present
    San Diego, CA
Previous Registrations
  • 2019-02-05 → 2021-10-01
    Mirae Asset Wealth Management (Usa) Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2018-04-11 → 2019-01-29
    Southfield, MI
    Troy, MI
  • 2018-02-02 → 2018-03-27
    Southfield, MI
Other Businesses

1)KOREAN AMERICAN CHAMBER OF COMMERCE OF ORANGE COUNTY - NOT-INVESTMENT RELATED - 9828 GARDEN GROVE BLVD., #207, GARDEN GROVE, CA 92844 -NON-PROFIT ORG - BOARD MEMBER - START DATE: 8/22/2019 - 10/HRS PER MONTH - 0 HRS DURING MARKET HRS TO SERVE AS THE VOICE OF KOREA AMERICAN BUSINESSES IN ORANGE COUNTY. Yonsei Global CEO Association,Is Not Investment Related,"1561 E. ORANGETHORPE AVE, SUITE 210, FULLERTON, CA, 92831, United States",Non-Profit Organization,CFO,1/1/2025,5 hours per month,0 hours per month during trading hours,No Compensation Compensation,To serve as the CFO of Yonsei Global CEO Association.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-01-16
S63 Uniform Securities Agent State Law Examination 2017-12-23
  • S65 Uniform Investment Adviser Law Examination
    2018-01-16
  • S63 Uniform Securities Agent State Law Examination
    2017-12-23

View on SEC IAPD

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