CP
Cynthia A. Pulver
KINGSWOOD WEALTH ADVISORS
American Fork, UT
Some features on this profile are disabled
CRD#: 2679744
CP
Professional summary
Cynthia A Pulver, who also goes by Cindi Pulver, Cindi Sandoval, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in American Fork, Utah and KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.
Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Cynthia has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindi Pulver | Cindi Sandoval
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)DJCAP LLC - Not investment related - 775 N 700 W American Fork, Utah 84003 - Flow-thru entity - Partner - 01/2019 - 8hrs/mo - 4hrs/mo during trading hrs - managing member, accounting for business expenses 2) Creekside Mortgage - Not investment Related - 1982 W Pleasant Grove Blvd Suite K, Pleasant Grove, UT 84062 - Residential mortgage loans - Morgage Loan Officer - 12/2018 - 1-4/hrs mo - 1-4/hrs mo during trading hrs - Originate residential mortgage loands, refi or purchase 3) Simplicity Group - Yes investment related - 4134 Deegan Cr Ste 300 Monticello, MN 55632 - Fixed life & Annunity Products - Producer - 12/21 - 35hrs/mo - 30hrs/mo during trading hrs - offer & service fixed life insurance products 4) Miller & Wade Group - Not investment related - 3200 W Clubhou8se Dr #225 Lehi, UT 84043 - Utah Health Insurance - Health Insurance Agent - 2/97 - 2hrs/mo - 2hrs/mo during trading hrs - refer clients that need individual marketplace healthcare.gov insurance 5) Senior Benefits Insurance Services - Not investment related - 9980 S 300 W Sandy, Utah 84070 - Sr health ins benefits medicare supplements - Insurance Agent - 06/2012 - 1hr/mo - 1hr/mo during trading hrs - I refer my sr clients to sr benefits specialists to implement their medicare supplement Bridgerland Financial Advisors,Is Not Investment Related,"775 N. 700 W., American Fork, Utah, American Fork, UT, 84003, United States",Financial Services-Flow thru Entity,manager-member,9/27/2024,40 hours per month,40 hours per month during trading hours,Commission Compensation,"Client Service, client communication, account maintenance, for registered securities and licensed fixed direct business." Reverse Freedom Mortgage,Is Not Investment Related,"1989 South 1300 West #110, , West Jordan, UT, 84003, United States",Reverse Mortgage Lending,Mortgage Loan Officer,10/1/2022,10 hours per month,10 hours per month during trading hours,Commission Compensation,"Gather Financial Information, refer to partner loan officer, originate loan submission and process, client relations, attending closing." Miller & Associates Insurance Advisors,Is Not Investment Related,"566 W. 800 N. Ste 203, , Orem, UT, 84057, United States",State Health Insurance,Utah Health Insurance,6/1/2018,10 hours per month,10 hours per month during trading hours,Commission Compensation,Utah Health Insurance - Health Insurance Agent - 2/97 - 2hrs/mo. - 2hrs/mo. during trading hrs. - refer clients that need individual marketplace healthcare.gov insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Cynthia A Pulver'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
December 24, 2021 - Present
KINGSWOOD WEALTH ADVISORS, LLC
RIA
CRD#: 288792
American Fork, UT
Current
December 23, 2021 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 126 E 56 St Suite 301, New York, NY 10022BD
CRD#: 288898
New York, NY
Past
December 15, 2021 - December 23, 2021
D. BORAL CAPITAL
BD
CRD#: 103792
NEW YORK, NY
Past
December 14, 2021 - December 23, 2021
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
American Fork, UT
Past
March 6, 2019 - November 26, 2021
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
AMERICAN FORK, UT
Past
February 5, 2019 - November 26, 2021
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
AMERICAN FORK, UT
Past
January 13, 2014 - January 18, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PLEASANT GROVE, UT
Past
January 6, 2014 - January 9, 2019
GLOBAL VIEW CAPITAL MANAGEMENT LLC
RIA
CRD#: 158292
PLEASANT GROVE, UT
Past
March 27, 2013 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
PLEASANT GROVE, UT
Past
March 25, 2013 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
PLEASANT GROVE, UT
Past
January 6, 2012 - March 25, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SOUTH JORDAN, UT
Past
January 6, 2012 - March 25, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SOUTH JORDAN, UT
Past
October 6, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
SOUTH JORDAN, UT
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
SOUTH JORDAN, UT
Past
April 23, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Alabama(10/21/2024)
RR
Arizona(11/14/2024)
RR
California(12/23/2021)
IAR
California(12/24/2021)
RR
Colorado(10/21/2024)
IAR
Florida(2/3/2022)
IAR
Georgia(2/10/2022)
RR
Idaho(1/3/2022)
IAR
Idaho(1/7/2022)
RR
Kansas(10/24/2024)
RR
Kentucky(10/25/2024)
RR
Nevada(1/3/2022)
IAR
Nevada(1/25/2022)
IAR
North Carolina(2/1/2022)
RR
North Dakota(10/28/2024)
RR
Tennessee(10/21/2024)
IAR
Texas(1/28/2022)
RR
Utah(12/23/2021)
IAR
Utah(1/4/2022)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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 | 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.
