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JT

Jeffrey B. Thompson

KINGSWOOD CAPITAL PARTNERS
New York, NY 10022
Some features on this profile are disabled
CRD#: 3252266
JT

Professional summary

Jeffrey Burroughs Thompson, who also goes by Jeffrey B Thompson, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1999. Jeffrey has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey B Thompson

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.
TRUSTEE FOR BROTHER-IN-LAW'S TRUST; INV. RELATED; JACKSON, WY; START DATE 12/2021. TRUSTEE FOR NEPHEW'S TRUST; INV. RELATED; JACKSON, WY; START DATE 12/2021. TRUSTEE FOR SISTER'S TRUST; INV. RELATED; JACKSON, WY; START DATE 12/2021.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Burroughs Thompson'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

March 5, 2024 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 126 E 56th St 22nd Fl, New York, NY 10022
BD
CRD#: 288898
New York, NY
Past

November 26, 2023 - February 26, 2024

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

January 3, 2011 - May 2, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GREENWICH, CT
Past

January 3, 2011 - May 2, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
GREENWICH, CT
Past

September 26, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
DENVER, CO
Past

September 25, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
DENVER, CO
Past

February 21, 2006 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
AUSTIN, TX
Past

February 21, 2006 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
AUSTIN, TX
Past

September 3, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
AUSTIN, TX
Past

September 3, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

October 19, 1999 - September 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
AUSTIN, TX
Past

August 18, 1999 - September 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Connecticut
(3/5/2024)
RR
New York
(3/5/2024)
RR
Texas
(3/5/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/20/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/5/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/31/2006
General Securities Sales Supervisor - Options Module 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#: 288898New York, NY 10022

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