Henry J. O'brien
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Henry Joseph O'brien, who also goes by Henry Joseph Obrien, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1983. Henry had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2023 - August 1, 2025
KINGSWOOD CAPITAL PARTNERS, LLC
January 14, 2022 - August 1, 2025
KINGSWOOD WEALTH ADVISORS, LLC
May 26, 2020 - January 12, 2022
BENCHMARK ADVISORY SERVICES, LLC
March 12, 2020 - May 19, 2023
D. BORAL CAPITAL
January 21, 2016 - December 3, 2019
OSAIC WEALTH, INC.
October 1, 2007 - December 31, 2015
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
December 1, 2006 - December 3, 2019
OSAIC WEALTH, INC.
July 9, 1996 - December 4, 2006
INVESTMENT ADVISORS & CONSULTANTS, INC.
August 8, 1983 - January 14, 1993
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
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.
