SW
Seth L. Waltman
KINGSWOOD WEALTH ADVISORS
Watkinsville, GA 30677-7257
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CRD#: 4681412
SW
Professional summary
Seth Lawrence Waltman, who also goes by Seth Lawrence Waltman, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Watkinsville, Georgia and M. S. HOWELLS & CO. located in Watkinsville, Georgia.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Seth has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth Lawrence Waltman
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. JULY 2010; ST. MARY'S HOSPITAL FOUNDATION, ATHENS, GA; NON-INVESTMENT RELATED; HOSPITAL FOUNDATION; BOARD MEMBER; ATTEND MEETINGS TO DISCUSS FOUNDATION AND ITS FUNDRAISING NEEDS FOR THE HOSPITAL; DEVOTE 1 HR/MONTH DURING NON-MARKET HOURS. 2. JAN 2016; TRICOACHGEORGIA, LLC, ATHENS, GA; NON INVESTMENT RELATED; TRIATHALON COACH; DEVOTE 5 HRS/MO DURING NON MARKET HOURS. 3. Kingswood Wealth Advisors LLC DBA Phoenix Asset Advisors; Investment related- Yes; Watkinsville, GA; Nature- Investment; Position/Title- Investment Advisor; Start date- 7.1.24; Approximately 160hours per month, 160 during trading hours; Description- Provide financial services to clients
CRS (Client Relationship Summary) - RIA
Click below to view Seth Lawrence Waltman's 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®
NoneExperience
Current
July 1, 2024 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 1551 Jennings Mill Rd Ste 1000-b, Watkinsville, GA 30677-7257RIA
CRD#: 288792
Watkinsville, GA
Current
September 21, 2016 - Present
M. S. HOWELLS & CO.
Office #1: 1551 Jennings Mill Road 2600c, Watkinsville, GA 30677BD
CRD#: 104100
Watkinsville, GA
Past
September 15, 2016 - April 2, 2025
EUDAIMONIA PARTNERS, LLC
RIA
CRD#: 283884
Athens, GA
Past
February 17, 2011 - September 14, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ATHENS, GA
Past
February 14, 2011 - September 14, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ATHENS, GA
Past
June 1, 2009 - February 10, 2011
MORGAN STANLEY
RIA
CRD#: 149777
ATHENS, GA
Past
June 1, 2009 - February 10, 2011
MORGAN STANLEY
BD
CRD#: 149777
ATHENS, GA
Past
March 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ATHENS, GA
Past
June 23, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ATHENS, GA
Past
November 6, 2003 - June 29, 2006
EDWARD JONES
BD
CRD#: 250
ATHENS, GA
Past
August 20, 2003 - October 3, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 20, 2003 - October 3, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
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)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
IAR
California(7/2/2024)
RR
Georgia(9/21/2016)
IAR
Georgia(7/8/2024)
IAR
North Carolina(8/5/2024)
IAR
South Carolina(2/24/2025)
RR
Texas(4/30/2021)
IAR
Texas(7/1/2024)
RR
Virginia(9/21/2016)
IAR
Virginia(7/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 9,250 |
| AUM (Assets Under Management) | $ 2,470,940,336 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KINGSWOOD WEALTH ADVISORS, LLC
CRD#: 288792Watkinsville, GA 30677-7257TRUST BUT VERIFY
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