Barry Waxler

Professional summary

Barry Waxler, who also goes by Barry Waxier, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in San Diego, California and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Barry has worked at 14 firms and has passed the Series 65, Series 63, Series 82TO, SIE, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barry Waxier

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) Universal Financial Consultants Corp. - yes - 5040 Seachase Way San Diego - Life, Health, and Disability Income Insurance sales - General Agent - 7/1/2000 - 80 hours - 60 hours Sell, underwrite, place and service clients life, health and disability income insurance policies. 2) EPI/Founder Group Advisory Board - no - 5040 Seachase Way, San Diego, CA 92130 - business development- focus on exit planning - advisory board member - 1/1/2019 - 2 hours - none Meet monthly to collaborate with attorneys, accountants and financial advisors for exit planning. 3) Author - Book sales Stop Bleeding Cash - no - 5040 Seachase Way, San Diego, CA 92130 - business development and prospecting - author - 1/1/2016 - 4 - none book sales on line. Book is used to develop credibility for new business prospecting 4) Premium Financed Life Insurance Sales - not investment related - 5040 Seachase Way San Diego, CA 92130 - Life insurance sales w/ finding via bank financing - Producing life insurance agent - 4/1/22 - 5-10 hours - 0-5 hours - assist families in need of life insurance for estate planning purposes 5) Blockcerts Referral Agreement - not investment related - 5040 Seachase Way, San Diego CA 92130 - business referrals for technology and business advancement - independent contractor - 7/1/2022 - 2-5 hours - 0 hours - refer clients to blockcerts that need technology development, including the development of apps. web products, or non fungible tokens 6)EF Hutton Investment Banking Referral Agreement - not investment related - 5040 Seachase Way, San Diego CA 92130 - business referrals for investment banking capital raise - independent contractor - 6/1/2022 - 2-5 hours - 0 hours - refer clients to EF \Hutton that need assistance with business development and have capital primarily in late stage development 7) Holonis Referral Agreement - not investment related - 5040 Seachase Way, San Diego CA 92130 - business referrals for technology and marketing support - independent contractor - 7/1/2019 - 2-5 hours - 0 hours - refer clients to Holonis that need technology development, including the development of web related apps and marketing tools. 8) Abacus Like Settlements Referral Agreement - not investment related - 5040 Seachase Way, San Diego CA 92130 - business referrals for late stage capital and business development - independent contractor - 6/1/2022 - 2-5 hours - 0 hours - make referrals and connections for life settlements and late stage business development for technology, capital needs, and the creation of non fungible tokens

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Waxler'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

January 3, 2022 - Present

KINGSWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 288792

San Diego, CA

Current

May 19, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

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

BD

CRD#: 3870

FORT WAYNE, IN

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

IAR

Alabama
(1/10/2022)

IAR

Arizona
(3/14/2022)

RR

Arizona
(3/4/2024)

IAR

California
(1/5/2022)

RR

California
(5/19/2023)

IAR

Connecticut
(1/3/2022)

IAR

Florida
(11/30/2022)

RR

Florida
(5/19/2023)

IAR

Idaho
(11/1/2022)

RR

Idaho
(5/19/2023)

RR

Illinois
(10/31/2024)

IAR

Illinois
(11/13/2024)

RR

Indiana
(5/19/2023)

IAR

Kansas
(1/3/2022)

RR

Louisiana
(7/31/2024)

IAR

Louisiana
(8/1/2024)

IAR

Nevada
(4/29/2022)

RR

Nevada
(5/19/2023)

RR

New York
(1/10/2025)

IAR

North Carolina
(1/6/2022)

RR

North Carolina
(5/19/2023)

RR

Tennessee
(2/28/2025)

IAR

Texas
(1/3/2022)

RR

Wyoming
(5/19/2023)

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.

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

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Waxler's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

BENCHMARK ADVISORY SERVICES, LLC

D. BORAL CAPITAL

LPL FINANCIAL LLC

VERUS CAPITAL PARTNERS, LLC

VERUS CAPITAL PARTNERS, LLC

SECURITIES AMERICA, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

NATIONAL PLANNING CORPORATION

MAIN STREET ADVISORS, LLC

MAIN STREET SECURITIES, LLC

WAVELAND INVESTMENT ADVISORS, LLC

WAVELAND CAPITAL PARTNERS LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

OSAIC FS, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2000

Series 63

Date: 7/13/1993

Series 82TO

Date: 7/22/2022

SIE

Date: 10/1/2018

Series 6

Date: 7/28/1993

Series 22

Date: 6/18/1993

Series 26

Date: 11/6/2000

FINRA

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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