BH
Brian M. Herman
KINGSWOOD CAPITAL PARTNERS
Boca Raton, FL 33433
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CRD#: 1927274
BH
Professional summary
Brian Marcus Herman is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in Boca Raton, Florida.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1989. Brian has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Brian Marcus Herman's 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®
NoneExperience
Current
January 5, 2023 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 7280 W. Palmetto Park Rd #301, Boca Raton, FL 33433BD
CRD#: 288898
Boca Raton, FL
Past
May 28, 2003 - December 21, 2005
VIEWTRADE FINANCIAL
BD
CRD#: 47116
BOCA RATON, FL
Past
November 9, 2000 - January 9, 2023
VIEWTRADE SECURITIES, INC.
BD
CRD#: 46987
BOCA RATON, FL
Past
June 20, 1996 - November 9, 2000
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
BOCA RATON, FL
Past
July 10, 1992 - July 3, 1996
EURO-ATLANTIC SECURITIES INC.
BD
CRD#: 21367
BOCA RATON, FL
Past
May 3, 1989 - July 28, 1992
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
Arizona(1/5/2023)
RR
California(1/5/2023)
RR
Colorado(1/5/2023)
RR
Connecticut(1/5/2023)
RR
Delaware(2/7/2023)
RR
Florida(1/5/2023)
RR
Georgia(1/5/2023)
RR
Illinois(1/31/2023)
RR
Indiana(1/30/2023)
RR
Iowa(1/5/2023)
RR
Kansas(8/16/2023)
RR
Kentucky(1/5/2023)
RR
Louisiana(2/6/2023)
RR
Maine(1/5/2023)
RR
Maryland(1/5/2023)
RR
Massachusetts(4/26/2023)
RR
Michigan(1/5/2023)
RR
Minnesota(3/10/2023)
RR
Mississippi(1/30/2023)
RR
Montana(5/23/2023)
RR
Nebraska(8/26/2024)
RR
Nevada(1/5/2023)
RR
New Hampshire(7/25/2025)
RR
New Jersey(1/5/2023)
RR
New Mexico(4/27/2023)
RR
New York(1/5/2023)
RR
North Carolina(7/25/2025)
RR
North Dakota(1/5/2023)
RR
Ohio(1/5/2023)
RR
Oklahoma(1/17/2023)
RR
Oregon(1/9/2023)
RR
Puerto Rico(1/5/2023)
RR
South Carolina(1/5/2023)
RR
Tennessee(10/14/2025)
RR
Texas(1/5/2023)
RR
Utah(1/6/2023)
RR
Virginia(1/30/2023)
RR
Washington(1/31/2023)
RR
Wisconsin(1/5/2023)
RR
Wyoming(7/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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.
Company Information
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898Boca Raton, FL 33433TRUST BUT VERIFY
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