Kevin J. Ernst
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.
Kevin John Ernst was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1989. Kevin had worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2023 - August 14, 2025
KINGSWOOD CAPITAL PARTNERS, LLC
August 24, 2022 - April 17, 2023
PRIME EXECUTIONS, INC.
March 18, 2020 - December 9, 2021
PLURIS CAPITAL GROUP, INC.
December 5, 2016 - March 22, 2018
EASTGATE SECURITIES, LLC
July 29, 2014 - December 22, 2014
BUCKMAN, BUCKMAN & REID, INC.
December 13, 2011 - August 6, 2012
DU PASQUIER & CO., INC.
October 3, 2011 - November 16, 2011
COWEN PRIME SERVICES LLC
March 31, 2011 - November 16, 2011
COWEN PRIME SERVICES LLC
June 15, 2009 - December 15, 2010
PHX FINANCIAL, INC.
January 11, 2000 - September 1, 2000
UBS FINANCIAL SERVICES INC.
December 21, 1989 - January 4, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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 |
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.
