Scott E. Diamond
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.
Scott Evan Diamond was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2018 - November 4, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
February 22, 2016 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
January 6, 2015 - February 12, 2016
KESTRA INVESTMENT SERVICES, LLC
January 6, 2015 - February 12, 2016
KESTRA INVESTMENT SERVICES, LLC
August 28, 2014 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
June 2, 2006 - May 29, 2014
M HOLDINGS SECURITIES, INC.
January 26, 2000 - June 6, 2006
TBG FINANCIAL
March 2, 1999 - January 21, 2000
MML INVESTORS SERVICES, LLC
June 14, 1996 - January 15, 1999
UBS FINANCIAL SERVICES INC.
January 24, 1995 - June 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
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
Current 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.
