Alessandro Abaroa

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CRD#: 2311221

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.

Alessandro Abaroa, AIF®, who also goes by Al Abaroa, Alejandro Abaroa, Mark Abaroa, was a registered financial professional .

Alessandro is a previously registered financial professional and started their career in finance in 1993. Alessandro had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Al Abaroa | Alejandro Abaroa | Mark Abaroa

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.

03/2011 TO PRESENT: KINGSVIEW ,LLC - SAME ADDRESS AS RIA OFFICE, COMMODITIES BROKERAGE; SIMULTANEOUS HOURS WITH INVESTMENT ADVVISOR BUSINESS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

May 6, 2025 - June 9, 2025

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

PLANTATION, FL

Past

February 13, 2015 - May 4, 2023

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

PLANTATION, FL

Past

January 3, 2005 - October 15, 2007

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

MIAMI BEACH, FL

Past

January 20, 1997 - January 21, 2003

U.S. SECURITIES & FUTURES CORP.

CRD#: 36045

NEW YORK, NY

Past

June 28, 1994 - June 29, 1995

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

Past

October 12, 1993 - January 21, 1994

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

August 6, 1993 - October 15, 1993

CORTLANDT CAPITAL CORPORATION

CRD#: 25152

NEW YORK CITY, 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".

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/23/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/28/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/4/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/10/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/1997

General Securities Principal Examination

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

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Contact information

Main Address

509 Se 7th Street 2nd Floor, Grants Pass, OR 97526

Mailing Address

Phone number

(312) 870-6701

Established

Firm type

Fiscal year end

# of Employees

225

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KINGSVIEW 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	24,847
AUM (Assets Under Management)	$ 6,745,495,357

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

Alessandro Abaroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KINGSVIEW WEALTH MANAGEMENT, LLC

VISION BROKERAGE SERVICES, LLC

U.S. SECURITIES & FUTURES CORP.

D. BLECH & COMPANY, INCORPORATED

INVESTORS ASSOCIATES, INC.

CORTLANDT CAPITAL CORPORATION

Primary Firm SEC Registration

KINGSVIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2014

Series 63

Date: 8/6/1993

Series 3

Date: 12/28/1994

Series 7

Date: 8/4/1993

Series 4

Date: 3/10/1997

Series 24

Date: 1/30/1997

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSVIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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