DD
Douglas E. Dort
KINGSWOOD WEALTH ADVISORS
Clearwater, FL 33756
Some features on this profile are disabled
CRD#: 2892471
DD
Professional summary
Douglas E Dort, who also goes by Douglas Edward Dort, Douglas Dort, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Clearwater, Florida and KINGSWOOD CAPITAL PARTNERS, LLC located in Clearwater, Florida.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Douglas has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Edward Dort | Douglas Dort
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.
FINANCIAL & RETIREMENT STRATEGIES,INC; DBA FOR INVESTMENTS; INSURANCE & TAX PREPARATION; PRESIDENT; 1221 TURNER ST. STE 101 CLEARWATER, FL 33756; INVESTMENT RELATED; PRESIDENT; START DATE 2007; 160 HOURS/MONTH FINANCIAL AND RETIREMENT STRAT,Is Not Investment Related,"1221 TURNER STREET SUITE 101, , CLEARWATER, FL, 33756, United States",DBA Financial & Retirement Strategies,President/CEO,7/7/2007,20 hours per month,0 hours per month during trading hours,Salary Compensation,Officer of an S-Corp and DBA.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas E Dort'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
October 2, 2018 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 1221 Turner Street Suite 101, Clearwater, FL 33756RIA
CRD#: 288792
Clearwater, FL
Current
October 1, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 1221 Turner Street Suite 101, Clearwater, FL 33756BD
CRD#: 288898
Clearwater, FL
Past
July 16, 2007 - October 16, 2018
LEVEL FOUR FINANCIAL, LLC
RIA
CRD#: 25700
CLEARWATER, FL
Past
July 10, 2007 - October 16, 2018
LEVEL FOUR FINANCIAL, LLC
BD
CRD#: 25700
CLEARWATER, FL
Past
March 10, 2004 - July 2, 2007
GWN SECURITIES INC.
BD
CRD#: 128929
CLEARWATER, FL
Past
June 27, 2003 - September 9, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
December 2, 2002 - July 2, 2003
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
July 2, 2001 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, 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
IAR
Alabama(10/23/2018)
IAR
Arizona(2/25/2025)
RR
Arkansas(11/29/2021)
IAR
Arkansas(11/29/2021)
IAR
California(10/2/2018)
RR
Colorado(10/1/2018)
IAR
Colorado(10/23/2018)
RR
Florida(10/19/2018)
IAR
Florida(10/22/2018)
IAR
Georgia(10/2/2018)
IAR
Idaho(9/11/2023)
IAR
Louisiana(10/7/2025)
IAR
Maryland(10/3/2018)
IAR
Massachusetts(2/23/2022)
IAR
Mississippi(12/2/2021)
IAR
Nevada(10/24/2018)
IAR
New Hampshire(2/3/2025)
RR
New York(10/1/2018)
IAR
New York(11/29/2021)
IAR
North Carolina(11/20/2018)
IAR
Ohio(12/7/2023)
IAR
Pennsylvania(11/30/2021)
IAR
South Carolina(11/30/2021)
IAR
South Dakota(10/23/2018)
IAR
Texas(11/29/2021)
IAR
Virginia(10/23/2018)
IAR
Washington(10/24/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KINGSWOOD WEALTH ADVISORS, LLC
CRD#: 288792Clearwater, FL 33756TRUST BUT VERIFY
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