Brady A. Fuchs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brady Andrew Fuchs was a registered financial professional .
Brady is a previously registered financial professional and started their career in finance in 1999. Brady had worked at 13 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2022 - October 12, 2023
KINGSWOOD CAPITAL PARTNERS, LLC
May 10, 2022 - October 12, 2023
KINGSWOOD WEALTH ADVISORS, LLC
November 3, 2020 - May 4, 2021
VES ADVISORS, LLC
August 8, 2017 - November 2, 2018
INSTITUTE FOR WEALTH ADVISORS, INC.
September 21, 2012 - June 4, 2013
INDEPENDENT FINANCIAL GROUP, LLC
September 20, 2012 - August 30, 2013
INDEPENDENT FINANCIAL GROUP, LLC
May 13, 2010 - January 13, 2012
FINANCIAL ADVISERS OF AMERICA, LLC
September 9, 2009 - December 15, 2017
CONCERT WEALTH MANAGEMENT
May 29, 2007 - September 16, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - September 16, 2009
CITIGROUP GLOBAL MARKETS INC.
September 19, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 5, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 13, 2005 - May 16, 2005
CITICORP INVESTMENT SERVICES
June 4, 2004 - May 17, 2005
WAMU INVESTMENTS, INC.
August 20, 2002 - June 2, 2004
FINANCE 500, INC.
September 5, 2000 - August 28, 2002
UBS FINANCIAL SERVICES INC.
January 14, 2000 - August 28, 2002
UBS FINANCIAL SERVICES INC.
June 7, 1999 - September 7, 2000
MISSION CAPITAL INVESTMENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/3/2022
General Securities Representative ExaminationCurrent Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
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.
