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DB

Deborah L. Bradford

KINGSWOOD CAPITAL PARTNERS
Winchester, TN 37398
Some features on this profile are disabled
CRD#: 1592477
DB

Professional summary

Deborah L Bradford, who also goes by Debbie Bradford, Deborah Lynn Bradford, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in Winchester, Tennessee.

Deborah is registered as a RR (Registered Representative) and started their career in finance in 1994. Deborah has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Debbie Bradford | Deborah Lynn Bradford

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.
CNX ENERGY, INV RELATED, BRIDGEPORT, WV, .00017662% OWNERSHIP, START 4/27/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES. ANTERO ENERGY, INV RELATED, BRIDGEPORT, WV, .0000214% OWNERSHIP, START 4/27/2018, 1 HOUR PER MONTH, ZERO DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES. XTE ENERGY, INV RELATED, BRIDGEPORT, WV, .000217014% OWNERSHIP, START 6/29/2018, 1 HOUR PER MONTH, ZERO DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES. ENERVEST, INV RELATED, BRIDGEPORT, WV, .01% OWNERSHIP, START 6/29/2018, 1 HOUR PER MONTH, ZERO DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES. KRISCOTT, INVT RELATED, CLARKSBURG, WV, .04% OWNERSHIP, START DATE 1/21/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES. GREYLOCK, INVT RELATED, N/A, UNKNOWN, .01% OWNERSHIP, START DATE 1/22/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, INHERITED MINERAL AND GAS ROYALTIES.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Deborah L Bradford'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 15, 2024 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 1791 Bypass Rd, Winchester, TN 37398
BD
CRD#: 288898
Winchester, TN
Past

January 5, 2005 - March 24, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RICHMOND, VA
Past

May 18, 2001 - December 31, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RICHMOND, VA
Past

October 1, 2000 - March 24, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RICHMOND, VA
Past

August 11, 1995 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

June 28, 1994 - July 20, 1995

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Tennessee
(12/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/8/2000
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/27/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

KC
KINGSWOOD CAPITAL PARTNERS, LLC
CHALICE CAPITAL PARTNERS, LLC | KINGSWOOD INVESTMENTS | KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898 / SEC#: , 8-69967

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127
Mailing Address
126 E 56th Suite 3l, New York, NY 10022
Phone number
(800) 535-6981
Established
Nevada since 10/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KINGSWOOD US, LLCMEMBER
ALSORAIMI, MOHAMEDCCO5319490
GOLDEN, JAIME GALIONEPRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS2946822
NESSIM, MICHAEL HASKELCEO2573543
PITKOFF, DAVID JONATHANCFO2822280
RAYEVSKIY, VALERIY PCOO5788810
ROMERO, MONIQUE VICTORIAFINOP6712654
WILDER, JEREMY MATHEWCHIEF LEGAL OFFICER7080690

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 CAPITAL PARTNERS, LLC

CRD#: 288898Winchester, TN 37398

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