Carlos R. Yearwood

KINGSWOOD CAPITAL PARTNERS

New York, NY 10022

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CRD#: 4955271

Professional summary

Carlos R Yearwood, who also goes by Carlos Roberto Yearwood Jr., Carlos Roberto Yearwood, is a registered financial professional currently at KINGSWOOD CAPITAL PARTNERS, LLC located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2005. Carlos has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos Roberto Yearwood Jr. | Carlos Roberto Yearwood

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 Carlos R Yearwood'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

May 25, 2022 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 126 E 56 St Suite 301, New York, NY 10022

CRD#: 288898

New York, NY

Past

May 25, 2022 - May 13, 2024

D. BORAL CAPITAL

CRD#: 103792

NEW YORK, NY

Past

March 16, 2020 - December 22, 2020

ESSEX SECURITIES LLC

CRD#: 46605

Atlanta, GA

Past

January 4, 2020 - January 30, 2020

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

September 4, 2019 - May 17, 2022

SAN BLAS SECURITIES LLC

CRD#: 290605

CHICAGO, IL

Past

January 25, 2007 - November 22, 2019

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

July 21, 2005 - December 18, 2006

BOLTON GLOBAL CAPITAL

CRD#: 15650

ATLANTA, GA

Past

May 13, 2005 - July 5, 2005

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

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

Georgia
(5/25/2022)

New York
(5/25/2022)

Exams

State Security Law Exam

Series 63

Date: 6/13/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

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: 5/10/2005

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

Carlos R. Yearwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos R Yearwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

D. BORAL CAPITAL

ESSEX SECURITIES LLC

IFS SECURITIES

SAN BLAS SECURITIES LLC

IFS SECURITIES

BOLTON GLOBAL CAPITAL

VANGUARD CAPITAL

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/2005

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2005

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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