Ricardo Eduardo Harmsen | Financial Professional | Pittboro, North Carolina | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Ricardo Eduardo Harmsen, who also goes by Rick Harmsen, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Pittboro, North Carolina and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Ricardo has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Harmsen

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. DBA - Outer Banks Wealth Management, LLC 2. Business Activity: Asset Management, IAR; Business Entity: Blackridge Asset Management; Duties of Position: Financial Advisor; Title: Financial Advisor; Start Date: 11/2022; Approx. # of hours per month spent on activity: 40; Approx. # of hours spent during trading hours: 40

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Eduardo Harmsen'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 24, 2025 - Present

KINGSWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 288792

Pittboro, NC

Current

March 24, 2025 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

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

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

March 20, 1990 - May 29, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

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).

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

Florida
(3/24/2025)

RR

Georgia
(3/24/2025)

RR

Maryland
(3/24/2025)

RR

North Carolina
(3/24/2025)

IAR

North Carolina
(3/24/2025)

RR

South Carolina
(10/2/2025)

RR

Texas
(3/24/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 11/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

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

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.

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Advisor Monitoring

Firm Stability Insights

Ricardo E. Harmsen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Eduardo Harmsen's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

KINGSWOOD WEALTH ADVISORS, LLC

KINGSWOOD CAPITAL PARTNERS, LLC

BLACKRIDGE ASSET MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2007

Series 63

Date: 11/18/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1990

FINRA

Nasdaq Stock Market

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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