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LC

Lisa A. Ciervo

KINGSWOOD CAPITAL PARTNERS
Boca Raton, FL 33433
Some features on this profile are disabled
CRD#: 2899818
LC

Professional summary

Lisa Ann Ciervo, who also goes by Lisa Ann Bakowski, Lisa Ann Newberg, Lisa Ann Newburg, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in Boca Raton, Florida.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2000. Lisa has worked at 6 firms and has passed the Series 7TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 62 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Ann Bakowski | Lisa Ann Newberg | Lisa Ann Newburg

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 Lisa Ann Ciervo'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

January 3, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 7280 W. Palmetto Park Rd #301, Boca Raton, FL 33433
BD
CRD#: 288898
Boca Raton, FL
Past

April 15, 2013 - January 9, 2023

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

October 24, 2011 - February 5, 2013

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

August 9, 2005 - October 24, 2011

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

October 14, 2004 - September 7, 2005

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

February 24, 2000 - October 7, 2004

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
LOS ANGELES, CA

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
Florida
(1/3/2023)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/17/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 2/23/2000
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2012
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#: 288898Boca Raton, FL 33433

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