Jarrod Serrato
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.
Jarrod Serrato, who also goes by Jarrod Thomas Serrato, was a registered financial professional .
Jarrod is a previously registered financial professional and started their career in finance in 1990. Jarrod had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2019 - February 25, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
September 19, 2016 - June 27, 2017
FREEDOM INVESTORS CORP.
August 18, 2014 - December 18, 2014
GOLDEN STATE WEALTH MANAGEMENT, LLC
August 18, 2014 - December 18, 2014
LPL FINANCIAL LLC
June 20, 2013 - May 30, 2014
F500 ADVISORY SERVICES, INC.
January 7, 2013 - May 30, 2014
FINANCE 500, INC.
April 13, 2012 - January 7, 2013
B.B. GRAHAM & COMPANY, INC.
April 13, 2012 - January 7, 2013
B.B. GRAHAM & COMPANY, INC.
October 27, 2011 - April 19, 2012
MSI FINANCIAL SERVICES, INC.
October 26, 2011 - April 19, 2012
MSI FINANCIAL SERVICES, INC.
March 25, 2010 - October 25, 2011
NEWPORT COAST SECURITIES, INC.
March 25, 2010 - October 25, 2011
NEWPORT COAST SECURITIES, INC.
February 2, 2010 - March 23, 2010
WFP SECURITIES
January 28, 2010 - March 23, 2010
WFP SECURITIES
April 15, 2009 - May 4, 2009
NATIONAL PLANNING CORPORATION
February 18, 2009 - May 4, 2009
NATIONAL PLANNING CORPORATION
August 23, 2005 - October 9, 2007
STOCK TRADERS
March 4, 2005 - July 6, 2005
CROWELL, WEEDON & CO.
January 3, 2005 - February 22, 2005
BROOKSTREET SECURITIES CORPORATION
November 11, 2004 - February 22, 2005
BROOKSTREET SECURITIES CORPORATION
April 30, 2004 - August 11, 2004
IDS LIFE INSURANCE COMPANY
April 30, 2004 - August 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2004 - August 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1998 - May 23, 2002
UBS FINANCIAL SERVICES INC.
May 4, 1998 - May 23, 2002
UBS FINANCIAL SERVICES INC.
May 19, 1995 - April 27, 1998
MORGAN STANLEY DW INC.
April 29, 1991 - June 24, 1991
UNEX CAPITAL CORPORATION
September 21, 1990 - April 29, 1991
KINETIC CAPITAL INC
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 15
Date: 9/19/1990
Foreign Currency Options 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.
