Gladys E. Soto
Professional summary
Gladys E Soto, who also goes by Gladys Naisha, Gladys Estelle Soto, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in Atlanta, Georgia.
Gladys is registered as a RR (Registered Representative) and started their career in finance in 1995. Gladys has worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gladys E Soto's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 5600 Glenridge Dr Ne Ste 230 - East, Atlanta, GA 30342January 8, 2018 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
December 1, 2017 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 22, 2014 - November 2, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 1, 2010 - August 20, 2014
UBS FINANCIAL SERVICES INC.
September 29, 2008 - February 12, 2010
IFS SECURITIES
August 31, 2007 - September 23, 2008
STANFORD GROUP COMPANY
June 19, 2007 - August 24, 2007
OPPENHEIMER & CO. INC.
March 10, 2003 - June 29, 2007
CHASE INVESTMENT SERVICES CORP.
July 8, 2002 - February 3, 2003
OPPENHEIMER & CO. INC.
March 8, 2002 - May 20, 2002
THOMAS FLETCHER & COMPANY, INC.
October 5, 1999 - October 11, 2001
BLUESTONE CAPITAL CORP.
June 5, 1997 - February 11, 1999
MONTROSE CAPITAL MANAGEMENT LTD.
January 21, 1997 - March 27, 1997
WILLIAM SCOTT & CO. L.L.C.
July 23, 1996 - December 23, 1996
RICKEL & ASSOCIATES, INC.
November 27, 1995 - July 23, 1996
FAB SECURITIES OF AMERICA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2018)
Exams
Series 55
Date: 9/24/2001
Limited Representative-Equity Trader ExamFINRA
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
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