Gregory John Richards | Financial Professional | Scottsdale, Arizona | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Gregory John Richards is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Scottsdale, Arizona and KINGSWOOD CAPITAL PARTNERS, LLC located in Scottsdale, Arizona.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gregory has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 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.

1) Liberty Wealth Management LLC - Investment related - Yes - 14362 N Frank Lloyd Wright Blvd #1000, Scottsdale, AZ 85260 - Branding purposes only - Member/Owner - 3/01/2015 - 0hrs/mo - 0hrs/mo during trading hrs - DBA, branding purposes 2) The Estate Planning Team - Not investment related - 45110 Club Drive Suite B, Indian Wells, CA 92210 - Prospecting for potential clients explaining the strategies for the deffered sales trust - Member - 10/21/2016 - 12hrs/mo - 0hrs/mo during trading hrs - Prospecting for potential clients explaining the strategies for the deffered sales trust 3) AmeriEstate Legal Plan, Inc. - Not investment related - 3525 Hyland Ave., Suite 150, Costa Mesa, CA 92626 - Legal Plan - Refer Clients - 8/18/20 - 1 hour per month - 0 hours during trading hours - Refer clients to AmeriEstate for legal planning help

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Richards's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 3, 2023 - Present

KINGSWOOD WEALTH ADVISORS, LLC

Office #1: 14362 N Frank Lloyd Wright Blvd #1000, Scottsdale, AZ 85260

RIA

CRD#: 288792

Scottsdale, AZ

Current

May 19, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 14362 N Frank Lloyd Wright Blvd #1000, Scottsdale, AZ 85260

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

RR

Arizona
(5/19/2023)

IAR

Arizona
(8/3/2023)

RR

California
(5/19/2023)

IAR

California
(8/28/2023)

RR

Colorado
(5/19/2023)

RR

Connecticut
(9/27/2024)

RR

Florida
(5/19/2023)

RR

Indiana
(5/19/2023)

RR

Michigan
(7/19/2023)

RR

Minnesota
(5/19/2023)

RR

Montana
(5/19/2023)

RR

Nevada
(5/19/2023)

RR

New Jersey
(11/6/2025)

RR

New Mexico
(7/18/2023)

RR

New York
(11/22/2024)

RR

North Carolina
(5/19/2023)

RR

Ohio
(7/17/2023)

RR

Oklahoma
(5/19/2023)

RR

Oregon
(11/27/2024)

RR

South Carolina
(5/19/2023)

RR

Tennessee
(2/16/2024)

RR

Texas
(5/19/2023)

RR

Utah
(5/19/2023)

RR

Washington
(9/22/2023)

RR

West Virginia
(8/22/2024)

RR

Wisconsin
(7/27/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Current Firm

KW

KINGSWOOD WEALTH ADVISORS, LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/26/2025)

WRAP FEE PROGRAM BROCHURE - MARCH 28 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,250
AUM (Assets Under Management)	$ 2,470,940,336

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gregory J. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

DST WEALTH MANAGEMENT LLC

D. BORAL CAPITAL

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

QUESTAR CAPITAL CORPORATION

QUESTAR ASSET MANAGEMENT, INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2005

Series 63

Date: 6/17/1985

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2004

Series 6

Date: 8/6/1985

FINRA

Current Firm

KINGSWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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