GG
Gus Garcia
KINGSWOOD CAPITAL PARTNERS
Austin, TX 78731
Some features on this profile are disabled
CRD#: 4802755
GG
Professional summary
Gus Garcia, who also goes by Gus Garcia, Gustavo A Garcia, Gustavo Garcia, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in Austin, Texas.
Gus is registered as a RR (Registered Representative) and started their career in finance in 2007. Gus has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gus Garcia | Gustavo A Garcia | Gustavo Garcia
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Gus Garcia'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 15, 2022 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 5900 Balcones Dr Ste 100, Austin, TX 78731BD
CRD#: 288898
Austin, TX
Past
May 10, 2019 - March 3, 2021
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
October 1, 2007 - May 10, 2019
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
Alabama(7/15/2022)
RR
Alaska(7/15/2022)
RR
Arizona(7/15/2022)
RR
Arkansas(7/15/2022)
RR
California(7/15/2022)
RR
Colorado(7/15/2022)
RR
Connecticut(7/15/2022)
RR
Delaware(7/15/2022)
RR
Florida(7/15/2022)
RR
Georgia(7/15/2022)
RR
Hawaii(7/15/2022)
RR
Idaho(7/15/2022)
RR
Illinois(7/15/2022)
RR
Indiana(7/15/2022)
RR
Iowa(7/15/2022)
RR
Kansas(7/15/2022)
RR
Kentucky(7/15/2022)
RR
Louisiana(7/15/2022)
RR
Maine(7/15/2022)
RR
Maryland(7/15/2022)
RR
Massachusetts(7/15/2022)
RR
Michigan(7/15/2022)
RR
Minnesota(7/15/2022)
RR
Mississippi(7/15/2022)
RR
Missouri(7/15/2022)
RR
Montana(7/15/2022)
RR
Nebraska(7/15/2022)
RR
Nevada(7/15/2022)
RR
New Hampshire(7/15/2022)
RR
New Jersey(7/15/2022)
RR
New Mexico(7/15/2022)
RR
New York(7/15/2022)
RR
North Carolina(7/15/2022)
RR
North Dakota(7/15/2022)
RR
Ohio(7/18/2022)
RR
Oklahoma(7/15/2022)
RR
Oregon(7/15/2022)
RR
Pennsylvania(7/15/2022)
RR
Rhode Island(7/15/2022)
RR
South Carolina(7/15/2022)
RR
South Dakota(7/15/2022)
RR
Texas(7/15/2022)
RR
Utah(7/15/2022)
RR
Vermont(8/17/2022)
RR
Virginia(7/15/2022)
RR
Washington(7/15/2022)
RR
West Virginia(7/15/2022)
RR
Wisconsin(7/15/2022)
RR
Wyoming(7/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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.
