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Nelson M. Braff

KINGSWOOD CAPITAL PARTNERS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2629134
NB

Professional summary

Nelson Marc Braff is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.

Nelson is registered as a RR (Registered Representative) and started their career in finance in 1996. Nelson has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nelson Marc Braff'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

May 19, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 126 E 56 St Suite 301, New York, NY 10022
BD
CRD#: 288898
New York, NY
Past

February 23, 2019 - May 19, 2023

D. BORAL CAPITAL

BD
CRD#: 103792
New York, NY
Past

July 6, 2016 - February 21, 2019

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW YORK, NY
Past

September 21, 2012 - July 6, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

May 1, 1996 - October 11, 2012

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(5/19/2023)
RR
Colorado
(5/19/2023)
RR
Connecticut
(5/19/2023)
RR
Florida
(5/19/2023)
RR
Maryland
(5/19/2023)
RR
Massachusetts
(5/19/2023)
RR
New Jersey
(5/19/2023)
RR
New York
(5/19/2023)
RR
Tennessee
(5/19/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KINGSWOOD CAPITAL PARTNERS, LLC
CHALICE CAPITAL PARTNERS, LLC | KINGSWOOD INVESTMENTS | KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898 / SEC#: , 8-69967

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127
Mailing Address
126 E 56th Suite 3l, New York, NY 10022
Phone number
(800) 535-6981
Established
Nevada since 10/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KINGSWOOD US, LLCMEMBER
ALSORAIMI, MOHAMEDCCO5319490
GOLDEN, JAIME GALIONEPRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS2946822
NESSIM, MICHAEL HASKELCEO2573543
PITKOFF, DAVID JONATHANCFO2822280
RAYEVSKIY, VALERIY PCOO5788810
ROMERO, MONIQUE VICTORIAFINOP6712654
WILDER, JEREMY MATHEWCHIEF LEGAL OFFICER7080690

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.

Company Information

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898New York, NY 10022

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