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MW

Mark J. Williams

Some features on this profile are disabled
CRD#: 4061842
MW

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Mark Williams is an Investment Advisor Representative of Financial Gravity Family Office Services, Inc. ("Advisor") and is also an owner of Financial Gravity Companies, Inc. ("FGCO"), the parent company of the Advisor and Financial Gravity Asset Management, Inc. and Financial Gravity Enhanced Markets, LLC. FGCO offers partner programs, tax planning, wealth and risk management, and business consulting solutions, as well as financial advisory services. FGCO serves customers in the United States. FGCO is the parent company of Financial Gravity Asset Management, Inc. ("FG Asset Management") a turnkey asset management program ("TAMP") that some clients of the Advisor will be referred to for management of the assets in the portfolio. A conflict of interest exists because the owners of the Advisor are also the owners of FGCO. As such, he will receive compensation from both entities for the services provided to clients. Therefore, there is an advantage for the Advisor to refer clients to FG Asset Management for the additional compensation he will receive. Mark Williams spends approximately 10% of his time on activities related to the Financial Gravity Companies. Located at 2501 Ranch Road 620 S. Suite 110, Lakeway, TX. 78734. Mark Williams is an independent contractor for the Estate Planning Team providing marketing organization for supporting the sales of deferred sales trust. Mark Williams spends approximately 5% of his time on these activities. Located at 26364 Carmel Rancho Lane, Suite 200, Caramel, CA 93923. Mark Williams is also licensed and registered as an insurance agent to sell life, accident and other lines of insurance. This creates a conflict of interest. A conflict of interest exists because Mark Williams can recommend products for which he can receive additional compensation, i.e., insurance. In recommending an insurance product, Mark Williams will always act in the client's best interest under his fiduciary duty. Clients are not obligated to use the Advisor or its representatives for insurance product services. Mark Williams will spend approximately 5% of his time on insurance related activities. Located at 26364 Carmel Rancho Lane, Suite 200, Caramel, CA 93923. Mark Williams is a registered representative with Kingswood Capital Partners, LLC. Clients are in no way required to implement activities through any representative of FG FOS. Mark Williams will spend approximately 5% of his time on these related activities. Located at 175 Country Club Drive Bldg., 400 Ste D, Stockbridge, GA 30281

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 9, 2021 - October 30, 2024

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
Carmel By The Sea, CA
Past

September 10, 2021 - September 11, 2024

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

RIA
CRD#: 316024
Carmel, CA
Past

March 12, 2021 - October 5, 2021

FORTA FINANCIAL GROUP, INC.

RIA
CRD#: 28784
Carmel, CA
Past

March 12, 2021 - December 9, 2021

FORTA FINANCIAL GROUP, INC.

BD
CRD#: 28784
Carmel, CA
Past

November 4, 2015 - March 11, 2021

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
CARMEL, CA
Past

November 3, 2015 - March 11, 2021

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
CARMEL, CA
Past

November 7, 2007 - October 30, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
MONTEREY, CA
Past

November 7, 2007 - October 30, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MONTEREY, CA
Past

April 24, 2006 - November 1, 2007

QA3 FINANCIAL CORP.

BD
CRD#: 14754
MONTEREY, CA
Past

April 17, 2006 - November 1, 2007

QA3 FINANCIAL LLC

RIA
CRD#: 104957
MONTEREY, CA
Past

December 15, 2004 - December 31, 2006

NCW ADVISORY SERVICES, A GENERAL PARTNERSHIP

RIA
CRD#: 132676
MONTEREY, CA
Past

October 8, 2002 - April 18, 2006

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
MONTEREY, CA
Past

July 9, 2001 - July 9, 2001

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

July 9, 2001 - April 18, 2006

FSC SECURITIES CORPORATION

BD
CRD#: 7461
MONTEREY, CA
Past

January 7, 2000 - June 7, 2001

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/28/2000
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 7
Date: 12/2/1999
General Securities Representative Examination

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#: 288898

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