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Elizabeth C. Neuman

KINGSWOOD WEALTH ADVISORS
West Palm Beach, FL
Some features on this profile are disabled
CRD#: 2082556
EN

Professional summary

Elizabeth Christina Neuman, who also goes by Elizabeth C Neuman, Lisa Neuman, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in West Palm Beach, Florida and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Elizabeth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elizabeth C Neuman | Lisa Neuman

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) Lands of the President Senate 8A - not investment related - 2950 Presidential Way West Palm Beach, FL 33401 - Condo board volunteer - President - current - 8 hours - 0 hours - volunteer for a not-for-profit condominium association where I own and live. Also a member of the PWA board which is our condo community Lands of the President

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Christina Neuman'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

November 28, 2022 - Present

KINGSWOOD WEALTH ADVISORS, LLC

RIA
CRD#: 288792
West Palm Beach, FL
Current

November 25, 2022 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

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

April 29, 2011 - November 30, 2022

CANTELLA & CO., INC.

RIA
CRD#: 13905
West Palm Beach, FL
Past

March 7, 2011 - September 24, 2024

NEUMAN CAPITAL MANAGEMENT, INC.

RIA
CRD#: 114606
SUSSEX, NJ
Past

May 14, 2003 - November 30, 2022

CANTELLA & CO., INC.

BD
CRD#: 13905
West Palm Beach, FL
Past

August 15, 2001 - May 13, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

July 18, 2000 - April 3, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 12, 1998 - July 24, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 26, 1995 - May 20, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 3, 1992 - May 25, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT

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)

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
Connecticut
(5/15/2023)
RR
Florida
(11/25/2022)
RR
Massachusetts
(11/25/2022)
RR
New Jersey
(11/25/2022)
IAR
New Jersey
(11/28/2022)
RR
New York
(11/25/2022)
RR
Pennsylvania
(10/10/2023)
RR
South Carolina
(7/12/2023)
RR
Virginia
(11/25/2022)
RR
Washington
(11/25/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/16/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/15/2002
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT

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)
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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)

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

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 Accounts9,250
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.

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

CRD#: 288792West Palm Beach, FL

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Contact information

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