Mark J. Williams
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.
Mark John Williams was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2021 - October 30, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
September 10, 2021 - September 11, 2024
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
March 12, 2021 - October 5, 2021
FORTA FINANCIAL GROUP, INC.
March 12, 2021 - December 9, 2021
FORTA FINANCIAL GROUP, INC.
November 4, 2015 - March 11, 2021
CENTAURUS FINANCIAL, INC.
November 3, 2015 - March 11, 2021
CENTAURUS FINANCIAL, INC.
November 7, 2007 - October 30, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
November 7, 2007 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
April 24, 2006 - November 1, 2007
QA3 FINANCIAL CORP.
April 17, 2006 - November 1, 2007
QA3 FINANCIAL LLC
December 15, 2004 - December 31, 2006
NCW ADVISORY SERVICES, A GENERAL PARTNERSHIP
October 8, 2002 - April 18, 2006
FSC SECURITIES CORPORATION
July 9, 2001 - July 9, 2001
ADVANTAGE CAPITAL CORPORATION
July 9, 2001 - April 18, 2006
FSC SECURITIES CORPORATION
January 7, 2000 - June 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current 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 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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