Seth Anthony Stewart | Financial Professional | Nashville, Tennessee | KINGSWOOD WEALTH ADVISORS, LLC

Professional summary

Seth Anthony Stewart is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Nashville, Tennessee and KINGSWOOD CAPITAL PARTNERS, LLC located in Nashville, Tennessee.

Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Seth has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SETH A STEWART - INVESTMENT RELATED - 106 LASALLE COURT, NASHVILLE, TN - PRESIDENT - RESIDENTIAL PROPERTY INVESTMENT/ PURCHASE & LEASE SINGLE FAMILY RESIDENCES - SEPT 2014 - TIME DEVOTED TO OTHER BUSINESS/WEEKENDS ONLY - 0 HOURS DEVOTED DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Anthony Stewart'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

February 14, 2025 - Present

KINGSWOOD WEALTH ADVISORS, LLC

Office #1: 818 18th Avenue South Suite 800, Nashville, TN 37203

RIA

CRD#: 288792

Nashville, TN

Current

February 14, 2025 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 818 18th Ave South Ste 950, Nashville, TN 37203

BD

CRD#: 288898

Nashville, TN

Past

March 16, 2012 - February 27, 2025

STEPHENS

RIA

CRD#: 3496

NASHVILLE, TN

Past

March 16, 2012 - February 27, 2025

STEPHENS

BD

CRD#: 3496

NASHVILLE, TN

Past

June 1, 2009 - March 20, 2012

MORGAN STANLEY

RIA

CRD#: 149777

NASHVILLE, TN

Past

June 1, 2009 - March 20, 2012

MORGAN STANLEY

BD

CRD#: 149777

NASHVILLE, TN

Past

September 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NASHVILLE, TN

Past

August 10, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NASHVILLE, TN

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

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

RR

Florida
(2/14/2025)

RR

Kentucky
(2/14/2025)

RR

Mississippi
(2/14/2025)

RR

New York
(2/14/2025)

RR

Tennessee
(2/14/2025)

IAR

Tennessee
(2/14/2025)

RR

Texas
(2/14/2025)

IAR

Texas
(10/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 8/25/2006

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: 8/9/2006

General Securities Representative Examination

SRO Registrations

RR

FINRA

SRO Registrations

RR

Nasdaq Stock Market

Current Firm

KW

KINGSWOOD WEALTH ADVISORS, LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/26/2025)

WRAP FEE PROGRAM BROCHURE - MARCH 28 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,250
AUM (Assets Under Management)	$ 2,470,940,336

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

Seth A. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Anthony Stewart's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

STEPHENS

STEPHENS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

KINGSWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2006

FINRA

Nasdaq Stock Market

Current Firm

KINGSWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSWOOD WEALTH ADVISORS, LLC

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