Teresa L. Sponseller
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.
Teresa Lorraine Sponseller was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1988. Teresa had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2018 - June 30, 2026
KINGSWOOD CAPITAL PARTNERS, LLC
January 8, 2018 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
February 13, 2013 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
June 19, 1991 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 31, 1989 - June 3, 1991
FIRST UNION CAPITAL MARKETS CORP.
July 20, 1988 - April 19, 1989
MARSHALL & CO. SECURITIES, 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 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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