Michael Tsiaklides, CFP | Financial Professional | St Louis, Missouri | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Michael Tsiaklides, CFP® is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in St Louis, Missouri and KINGSWOOD CAPITAL PARTNERS, LLC located in St. Louis, Missouri.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) BENEFITPERQS INC. - not investment related - 914 S. Kirkwood Rd. St 100 St. Louis, MO 63122 - insurance sales. accounting, business consulting, tax prep, IRS representation - owner - 2013 - 40 hours - 3 hours - owner/manager 2) MICHAEL TSIAKLIDES EA/TAX SERVICE - not investment related - 914 S. Kirkwood Rd. St 100 St. Louis, MO 63122 - tax prep and consulting - owner - 2000 - 80 hours - 3 hours - owner/manager of a tax prep and tax/business advisory practice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Tsiaklides'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

September 27, 2022 - Present

KINGSWOOD WEALTH ADVISORS, LLC

Office #1: 914 S. Kirkwood Rd. Suite 100, St Louis, MO 63122

RIA

CRD#: 288792

St Louis, MO

Current

September 27, 2022 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 914 S Kirkwood Rd Suite 55, St. Louis, MO 63122

BD

CRD#: 288898

St. Louis, MO

Past

December 6, 2019 - September 27, 2022

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

December 6, 2019 - September 27, 2022

STONEX SECURITIES INC.

BD

CRD#: 18456

St Louis, MO

Past

March 20, 2018 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

ST LOUIS, MO

Past

November 4, 2016 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

BD

CRD#: 16783

LAGUNA HILLS, CA

Past

October 9, 2013 - August 3, 2016

OAKBRIDGE FINANCIAL SERVICES

BD

CRD#: 16323

ST. LOUIS, MO

Past

September 27, 2013 - October 30, 2013

PRIVATE LABEL MONEY MANAGEMENT, INC.

RIA

CRD#: 154952

ST. LOUIS, MO

Past

January 25, 2010 - September 13, 2013

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAINT LOUIS, MO

Past

January 25, 2010 - September 13, 2013

AVANTAX INVESTMENT SERVICES, INC.

BD

CRD#: 13686

SAINT LOUIS, MO

Past

June 5, 2007 - December 31, 2009

CUTTER & COMPANY, INC.

RIA

CRD#: 22449

ST. LOUIS, MO

Past

June 16, 2003 - December 31, 2009

CUTTER & COMPANY, INC.

BD

CRD#: 22449

ST. LOUIS, MO

Past

July 8, 2002 - July 16, 2003

AVANTAX INVESTMENT SERVICES, INC.

BD

CRD#: 13686

DALLAS, TX

Past

March 7, 2000 - June 5, 2000

OAKBRIDGE FINANCIAL SERVICES

BD

CRD#: 16323

KIRKWOOD, MO

Past

December 4, 1998 - August 27, 1999

EDWARD JONES

BD

CRD#: 250

ST. LOUIS, MO

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

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(9/27/2022)

IAR

Illinois
(9/27/2022)

RR

Missouri
(9/27/2022)

IAR

Missouri
(9/27/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 11/25/1998

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: 11/23/1998

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 27

Date: 10/20/2000

Financial and Operations Principal Examination

SRO Registrations

RR

FINRA

Current Firm

KW

KINGSWOOD WEALTH ADVISORS, LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/26/2025)

WRAP FEE PROGRAM BROCHURE - MARCH 28 2024 (3/26/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Michael Tsiaklides

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Tsiaklides's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

STONEX ADVISORS INC.

STONEX SECURITIES INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

OAKBRIDGE FINANCIAL SERVICES

PRIVATE LABEL MONEY MANAGEMENT, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CUTTER & COMPANY, INC.

CUTTER & COMPANY, INC.

AVANTAX INVESTMENT SERVICES, INC.

OAKBRIDGE FINANCIAL SERVICES

EDWARD JONES

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/23/1998

Series 27

Date: 10/20/2000

FINRA

Current Firm

KINGSWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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