NA
Norman L. Anderson
KINGSWOOD WEALTH ADVISORS
Phoenix, AZ 85028
Some features on this profile are disabled
CRD#: 843908
NA
Professional summary
Norman Lee Anderson is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Phoenix, Arizona and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Norman has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, Series 99TO, SIE, Series 7, Series 1 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.
1.) INSURANCE; AGENT; INSURANCE; START DATE 02/01/2014; 20 HOURS PER MONTH. 2.) DMDB, LLC; REAL ESTATE; SPOUSE OF LLC OWNER/MANAGER; START DATE 01/01/2016; 4 HOURS A MONTH 3.) ANDERSON TEAM FINANCIAL LLC; REGISTERED REPRESENTATIVE; DBA; START DATE: 05/22/2017; 160 HOURS PER MONTH. 4.) Norman L. Anderson - not investment related - fixed life insurance, disability income, and medicare supplements - insurance- not variable - sole proprietor - 1986 - 60 hours - 60 hours - sales and service 5) Norman L Anderson - not investment related - tax strategies - marketing ERC program - referral - 11/14/2022 - 20 hours - 0 hours - Marketing ERC programs in association with Richard and Kyle Rogers at Dannah Group
CRS (Client Relationship Summary) - RIA
Click below to view Norman Lee Anderson's 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®
NoneExperience
Current
November 7, 2018 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 4600 E Shea Blvd Suite 203, Phoenix, AZ 85028RIA
CRD#: 288792
Phoenix, AZ
Current
November 2, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 11440 W. Bernardo Ct Suite 300, San Diego, CA 92127BD
CRD#: 288898
San Diego, CA
Past
March 11, 2014 - August 30, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
PHOENIX, AZ
Past
January 31, 2014 - August 30, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
PHOENIX, AZ
Past
August 20, 2007 - February 3, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
PHOENIX, AZ
Past
July 20, 1998 - February 3, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
PHOENIX, AZ
Past
February 12, 1990 - July 24, 1998
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
March 16, 1987 - March 6, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 16, 1987 - March 6, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
January 17, 1986 - June 2, 1988
CONSECO FINANCIAL SERVICES, INC.
BD
CRD#: 629
Past
September 20, 1984 - March 6, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 20, 1980 - February 21, 1986
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
October 13, 1977 - February 20, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
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)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
Arizona(11/7/2018)
IAR
Arizona(11/7/2018)
RR
California(11/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/8/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT
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)Upgrade to AdvisorCheck Premium
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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)
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.
