DP
Dominick V. Pullano
KINGSWOOD WEALTH ADVISORS
Rochester, NY 14607
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CRD#: 1003659
DP
Professional summary
Dominick Vincent Pullano is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Rochester, New York and KINGSWOOD CAPITAL PARTNERS, LLC located in Rochester, New York.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Dominick has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
- PCM Associates - Yes investment related - 1100 University Ave #105 Rochester, NY 14607 - Run investment activity of Dom Pullano - President - 5/2005 - 5hrs/mo - 0hrs/mo during trading hrs - Manage office space and services to provide proper surroundings for an OSJ PCM Associates Ltd,Is Investment Related,"1100 University Ave, #105, Rochester, NY, 14607, United States",Managing investment services,President,1/1/2023,8 hours per month,0 hours per month during trading hours,Salary Compensation,Managing office and investment services related to supporting my registered representative and investment advisor activities through Kingswod Advisors and Kingswood LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Dominick Vincent Pullano's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2022 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 1100 University Ave #105, Rochester, NY 14607RIA
CRD#: 288792
Rochester, NY
Current
May 19, 2023 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 1100 University Ave #105, Rochester, NY 14607BD
CRD#: 288898
Rochester, NY
Past
June 3, 2020 - January 3, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
Rochester, NY
Past
June 3, 2020 - May 19, 2023
D. BORAL CAPITAL
BD
CRD#: 103792
Rochester, NY
Past
March 29, 2010 - June 11, 2020
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
ROCHESTER, NY
Past
March 29, 2010 - June 11, 2020
AEGIS CAPITAL CORP.
BD
CRD#: 15007
ROCHESTER, NY
Past
August 9, 2004 - March 30, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
ROCHESTER, NY
Past
April 8, 2002 - March 30, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
ROCHESTER, NY
Past
October 29, 1990 - March 21, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 2, 1983 - November 7, 1990
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
May 24, 1982 - September 2, 1983
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Past
August 25, 1981 - May 21, 1982
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(2/9/2022)
RR
Alabama(5/19/2023)
IAR
Arizona(1/12/2022)
RR
Arizona(5/19/2023)
IAR
California(1/5/2022)
RR
California(5/19/2023)
IAR
Colorado(1/4/2022)
RR
Colorado(5/19/2023)
IAR
Connecticut(1/3/2022)
RR
Connecticut(5/19/2023)
IAR
Florida(3/21/2022)
RR
Florida(5/19/2023)
RR
Georgia(5/19/2023)
IAR
Illinois(2/10/2022)
RR
Illinois(5/19/2023)
IAR
Maryland(1/3/2022)
RR
Maryland(5/19/2023)
IAR
Massachusetts(3/31/2022)
RR
Massachusetts(5/19/2023)
IAR
Michigan(9/22/2022)
RR
Minnesota(5/19/2023)
IAR
Montana(5/22/2025)
IAR
New Jersey(1/5/2022)
RR
New Jersey(5/19/2023)
IAR
New York(1/3/2022)
RR
New York(5/19/2023)
RR
North Carolina(5/19/2023)
IAR
North Carolina(9/27/2023)
RR
Ohio(5/19/2023)
RR
Oregon(12/3/2025)
IAR
Pennsylvania(1/3/2022)
RR
Pennsylvania(5/19/2023)
RR
Rhode Island(5/19/2023)
RR
South Carolina(5/19/2023)
IAR
South Dakota(1/5/2022)
IAR
Texas(1/3/2022)
RR
Texas(5/19/2023)
IAR
Utah(1/4/2022)
RR
Utah(5/19/2023)
IAR
Virginia(1/3/2022)
RR
Virginia(5/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11440 W. Bernardo Court Suite 300, San Diego, CA 92127
Mailing Address
126 E 56th Suite 3l, New York, NY 10022
Phone number
(800) 535-6981
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,250 |
| AUM (Assets Under Management) | $ 2,470,940,336 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KINGSWOOD WEALTH ADVISORS, LLC
CRD#: 288792Rochester, NY 14607TRUST BUT VERIFY
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