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Ramiro Herrera

Kingswood Wealth Advisors, LLC

San Diego, CA

San Diego, CA

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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
CA RA APPROVED 2025-04-29
  • CA RA
    APPROVED
    Since 2025-04-29

Branch Locations

11440 W. Bernardo Court Suite 300, San Diego, CA 92127 • United States

San Diego, CA • 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
Lpl Financial Llc San Diego CA 12/2017 01/2025
First Allied Securities, Inc. San Diego CA 07/2017 10/2017
Northwestern Mutual Invesment Serives, Llc La Jolla CA 12/2016 04/2017
San Diego State University San Diego CA 08/2013 12/2016
Kingswood Capital Partners San Diego CA 01/2025 Present
  • 12/2017 → 01/2025
    Lpl Financial Llc
    San Diego, CA
  • 07/2017 → 10/2017
    First Allied Securities, Inc.
    San Diego, CA
  • 12/2016 → 04/2017
    Northwestern Mutual Invesment Serives, Llc
    La Jolla, CA
  • 08/2013 → 12/2016
    San Diego State University
    San Diego, CA
  • 01/2025 → Present
    Kingswood Capital Partners
    San Diego, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-14
  • S66 Uniform Combined State Law Examination
    2024-06-14
Other Names
  • Ramiro Herrera-Ortiz

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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