Maxwell Osnowitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maxwell Osnowitz, CFA, who also goes by Maxwell Hugh Osnowitz, Maxwell Osnowitz, Max Osnowitz, was a registered financial professional .
Maxwell is a previously registered financial professional and started their career in finance in 2016. Maxwell had worked at 4 firms and has passed the Series 65, Series 63, Series 87, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2023 - December 19, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
January 7, 2020 - January 18, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 7, 2020 - January 18, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 4, 2017 - January 6, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2017 - January 6, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2016 - April 25, 2016
ALLSPRING FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
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 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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