MN
Michael H. Nessim
KINGSWOOD WEALTH ADVISORS
New York, NY 10004
Some features on this profile are disabled
CRD#: 2573543
MN
Professional summary
Michael Haskel Nessim, who also goes by Mike Nessim, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in New York, New York and KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Nessim
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)EAGLE HOLDING LLC,: 17 BATTERY PLACE, NEW YORK, NY, 10004, SOLE PROPRIETORSHIP,PRESIDENT, AN ENTITY SET UP TO MAKE PERSONAL INVESTMENTS THIS INCLUDES SECURITIES, CASH INSTRUMENTS AND REAL ESTATE, STARTED 9/2003(THIS LLC FROM TIME TO TIME MIGHT BE A MEMBER OR MANAGING MEMBER OF ADDITIONAL LLC'S FOR THE PURPOSE OF INVESTING); 4 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 2) Ganet, LLC (DBA):17 BATTERY PLACE, NY,LLC, OWNER/President, TO PAY BILLS ASSOCIATED WITH THE BRANCH, 4 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 3) PROMENADE CONDOMINIUM ASSOCIATION: NEW YORK/2014-TREASURER (AS OF 1/1/18,APPROVING BILLS FOR PAYMENT, MANAGING THE CASH FLOW OF THE CONDO, 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS. 4) MANHATTAN HARBOR CAPITAL LLC (DBA): DOMESTIC LIMITED LIABILITY COMPANY, 17 BATTERY PLACE, NEW YORK, NEW YORK, CEO,11/2015, MANAGE ALL RELATED ACTIVITIES ASSOCIATED WITH MASTER LEASE FOR NYC OFFICES. Owner of Benchmark Investments. (THIS ENTITY WAS PREVIOUSLY NAMED NOVO CAPITAL ADVISORS). 20 HOURS PER MONTH DURING TRADING HOURS. 5)SAG Marketing, MEMEBER, 17 BATTERY PLACE, NEW YORK, NY; 100% OWNED BY MANHATTAN HARBOR; MARKETING AND RECRUITMENT FOR BENCHMARK INVESTMENTS, INC.; 4 HOURS PER MONTH DURING TRADING HOURS. 6) Kingswood US - Yes, investment related - 17 Battery Place STE 625 NY, NY 10004 - Holding company for broker dealer and RIAs - President - 10hrs/mo - 2hrs/mo during trading hrs - expansion and management 7) redcoat Ventures, not investment related, CEO/MP, 1111 Brickell Ave , Miami Beach 33131 suite 182, Holding company that holds the interest ownership in Kingswood US, 160 hours per week, all during trading, no comp. Start date June 2025 8) Kingswood Global Sponsor II, LLC: - Investment Related - Tower 56 126 E. 56th Street, Suite 22R, New York NY 10022 - Manager of entity to formed make strategic investments - 10/13/25 - 5hrs/mo 9) Kingswood Global Acquisition Corp II - - Investment Related - Tower 56 126 E. 56th Street, Suite 22R, New York NY 10022 - Member of entity to formed make strategic investments - 10/13/25 - 5hrs/mo
CRS (Client Relationship Summary) - RIA
Click below to view Michael Haskel Nessim'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
April 7, 2021 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 17 Battery Pl Suite 625, New York, NY 10004RIA
CRD#: 288792
New York, NY
Current
April 7, 2021 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 126 E 56 St Suite 301, New York, NY 10022BD
CRD#: 288898
New York, NY
Past
October 24, 2019 - July 13, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
NEW YORK, NY
Past
July 3, 2019 - October 3, 2019
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
New York, NY
Past
June 24, 2019 - June 29, 2020
CAPE SECURITIES INC.
BD
CRD#: 7072
MCDONOUGH, GA
Past
February 23, 2019 - May 13, 2024
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
March 31, 2015 - February 22, 2019
NFSG CORPORATION
RIA
CRD#: 130814
NEW YORK, NY
Past
September 5, 2008 - February 22, 2019
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
NEW YORK, NY
Past
February 7, 2008 - September 10, 2008
SAXONY SECURITIES, INC.
BD
CRD#: 115547
NEW YORK, NY
Past
August 6, 1998 - March 6, 2008
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
NEW YORK, NY
Past
October 19, 1995 - August 3, 1998
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
January 3, 1995 - November 10, 1995
A. R. BARON & CO., INC.
BD
CRD#: 29285
NEW YORK, 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".
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | 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 | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | 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 | 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
RR
California(4/7/2021)
IAR
California(4/7/2021)
IAR
New York(5/3/2021)
RR
New York(6/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | 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 | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | 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 | 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)Upgrade to AdvisorCheck Premium
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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)
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.
