Karen Sterling

KINGSWOOD CAPITAL PARTNERS

San Diego, CA 92127

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CRD#: 4804633

Professional summary

Karen Sterling, who also goes by Karen Hinrichs, Karen Hinrichs-sterling, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Karen is registered as a RR (Registered Representative) and started their career in finance in 2009. Karen has worked at 4 firms and has passed the Series 63, Series 16, Series 87, Series 86, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Hinrichs | Karen Hinrichs-Sterling

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Sterling'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

November 2, 2023 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127

CRD#: 288898

San Diego, CA

Past

October 5, 2022 - November 1, 2023

WESTPARK CAPITAL, INC.

CRD#: 39914

NEW YORK, NY

Past

December 10, 2021 - September 13, 2022

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

May 13, 2009 - December 16, 2019

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

April 9, 2009 - April 23, 2009

SPENCER CLARKE LLC

CRD#: 41316

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(11/2/2023)

Exams

State Security Law Exam

Series 63

Date: 4/17/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 2/26/2024

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 87

Date: 1/27/2023

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 1/13/2023

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/8/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KINGSWOOD CAPITAL PARTNERS, LLC

CHALICE CAPITAL PARTNERS, LLC | KINGSWOOD INVESTMENTS | KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898 / SEC#: , 8-69967

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Karen Sterling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Sterling's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPARK CAPITAL, INC.

AVALON SECURITIES, LTD.

AVALON SECURITIES, LTD.

SPENCER CLARKE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2009

Series 16

Date: 2/26/2024

Series 87

Date: 1/27/2023

Series 86

Date: 1/13/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/8/2009

FINRA

Current Firm

KINGSWOOD CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KINGSWOOD CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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