Kaili E. Winters

FINANCIAL GRAVITY FAMILY OFFICE SERVICES

Lakeway, TX 78734

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CRD#: 6528334

Professional summary

Kaili Erin Winters is a registered financial advisor currently at FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC located in Lakeway, Texas.

Kaili is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Kaili has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 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.

Financial Gravity Enhanced Markets, LLC, an investment related company as an Independent Agent since 04/15/2024. Located at 2501 Ranch Road S 620, Suite 110 Austin, TX 78734. Licensed and registered to sell life, accident, and other lines of insurance for Financial Gravity Enhanced Markets, LLC. dedicating approximately 5% of her time on insurance-related activities. Conflict of interest due to additional compensation on these products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kaili Erin Winters'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

April 15, 2024 - Present

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

Office #1: 2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734

RIA

CRD#: 316024

Lakeway, TX

Past

June 17, 2024 - October 30, 2024

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Austin, TX

Past

January 11, 2024 - May 17, 2024

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

Austin, TX

Past

March 6, 2023 - January 16, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

January 27, 2023 - April 14, 2024

49 FINANCIAL

RIA

CRD#: 319484

AUSTIN, TX

Past

November 16, 2021 - January 3, 2023

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Austin, TX

Past

September 24, 2021 - January 6, 2023

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

RIA

CRD#: 316024

LAKEWAY, TX

Past

April 20, 2020 - October 5, 2021

FORTA FINANCIAL GROUP, INC.

RIA

CRD#: 28784

Austin, TX

Past

April 20, 2020 - December 9, 2021

FORTA FINANCIAL GROUP, INC.

CRD#: 28784

Austin, TX

Past

August 8, 2019 - May 7, 2020

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

August 8, 2019 - May 7, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

March 16, 2018 - August 5, 2019

FORTA FINANCIAL GROUP, INC.

CRD#: 28784

AUSTIN, TX

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".

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA

Registered Investment Advisory firm - (9/9/2021 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/2019

General Securities Principal Examination

Current Firm

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA

Registered Investment Advisory firm - (9/9/2021 Approved)

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Contact information

Main Address

2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734

Mailing Address

Phone number

(800) 588-3893

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (12/20/2024)

Regulatory assets under management

Total Number of Accounts	1,745
AUM (Assets Under Management)	$ 467,196,918

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

Kaili E. Winters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kaili Erin Winters's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

OAKWOOD CAPITAL SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

49 FINANCIAL

KINGSWOOD CAPITAL PARTNERS, LLC

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

FORTA FINANCIAL GROUP, INC.

FORTA FINANCIAL GROUP, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FORTA FINANCIAL GROUP, INC.

Primary Firm SEC Registration

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2018

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2018

Series 24

Date: 1/30/2019

Current Firm

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

TRUST BUT VERIFY

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