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EV

Eric M. Vallejo

KINGSWOOD CAPITAL PARTNERS
San Diego, CA 92127
Some features on this profile are disabled
CRD#: 1754908
EV

Professional summary

Eric Manuel Vallejo, who also goes by Eric M Vallego, Eric Manvel Vallejo, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1988. Eric has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric M Vallego | Eric Manvel Vallejo

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Manuel Vallejo'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

March 14, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127
BD
CRD#: 288898
San Diego, CA
Past

January 12, 2001 - April 1, 2021

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

April 29, 1998 - October 23, 2000

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

May 21, 1997 - February 10, 1998

BRAUER & ASSOCIATES, INC.

BD
CRD#: 18278
ST. PETERSBURG, FL
Past

November 22, 1991 - April 3, 1997

EURO-ATLANTIC SECURITIES INC.

BD
CRD#: 21367
BOCA RATON, FL
Past

July 13, 1990 - November 25, 1991

GUARDIAN INTERNATIONAL SECURITIES CORP.

BD
CRD#: 8454
Past

January 22, 1988 - July 20, 1990

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

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
Florida
(3/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/15/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 9/23/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 288898San Diego, CA 92127

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