BW
Barry Waxler
KINGSWOOD WEALTH ADVISORS
San Diego, CA
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CRD#: 2337255
BW
Barry WaxlerKINGSWOOD WEALTH ADVISORS
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.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Barry Waxler's 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®
NoneExperience
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 92127BD
CRD#: 288898
SAN DIEGO, CA
Past
October 25, 2021 - January 3, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
San Diego, CA
Past
October 25, 2021 - May 19, 2023
D. BORAL CAPITAL
BD
CRD#: 103792
NEW YORK, NY
Past
October 16, 2020 - October 29, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
January 1, 2015 - December 14, 2021
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
SAN DIEGO, CA
Past
May 13, 2014 - December 31, 2014
VERUS CAPITAL PARTNERS, LLC
RIA
CRD#: 151568
SAN DIEGO, CA
Past
April 24, 2014 - October 29, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
San Diego, CA
Past
October 21, 2013 - April 30, 2014
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
August 6, 2010 - September 6, 2012
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
August 6, 2010 - April 30, 2014
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
November 2, 2009 - July 30, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SAN DIEGO, CA
Past
June 20, 2008 - May 15, 2014
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
SAN DIEGO, CA
Past
October 18, 2005 - November 3, 2009
MAIN STREET SECURITIES, LLC
BD
CRD#: 47127
SAN DIEGO, CA
Past
May 18, 2004 - October 10, 2005
WAVELAND INVESTMENT ADVISORS, LLC
RIA
CRD#: 119505
SAN DIEGO, CA
Past
May 18, 2004 - October 10, 2005
WAVELAND CAPITAL PARTNERS LLC
BD
CRD#: 40054
IRVINE, CA
Past
April 16, 2004 - May 17, 2004
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SAN DIEGO, CA
Past
September 8, 2003 - May 17, 2004
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
September 29, 2000 - September 11, 2003
OSAIC FS, INC.
RIA
CRD#: 3870
SAN DIEGO, CA
Past
June 21, 1993 - September 11, 2003
OSAIC FS, INC.
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
3G WEALTH | VSL WEALTH ADVISORY LLC | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STERN INVESTMENTS, LLC | 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 | LE'AHI PRIVATE WEALTH | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | H. PRIVATE WEALTH | 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 | FALKE WEALTH 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
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
Oklahoma(12/15/2025)
RR
Tennessee(2/28/2025)
IAR
Texas(1/3/2022)
RR
Wyoming(5/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 7/22/2022
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | VSL WEALTH ADVISORY LLC | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STERN INVESTMENTS, LLC | 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 | LE'AHI PRIVATE WEALTH | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | H. PRIVATE WEALTH | 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 | FALKE WEALTH 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)Loading...
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)
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.
