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Brian Marcus Herman

Kingswood Capital Partners, LLC

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About Brian Marcus Herman

Brian Herman is a financial advisor with Kingswood Capital Partners, LLC. Brian has over 33 years of experience in the financial industry. Brian has been registered with the Financial Industry Regulatory Authority (FINRA) since 1989. Brian is a registered representative of Kingswood Capital Partners, LLC and holds the following licenses: Series 7, Series 24, Series 63, Series 79TO, Series 99TO, and SIE. Brian has a deep understanding of the financial markets and can help you develop a personalized financial plan that meets your specific needs.

Firm Information

Brian Herman is currently registered with Kingswood Capital Partners, LLC. Kingswood Capital Partners, LLC is a Limited Liability Company formed in 2016 and is registered to do business in all 50 U.S. states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

59

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Herman’s Registration & Firm History

FL

01/05/2023 - Present

Kingswood Capital Partners, LLC (Boca Raton FL)

FL

11/09/2000 - 01/09/2023

VIEWTRADE SECURITIES, INC. (BOCA RATON FL)

FL

05/28/2003 - 12/21/2005

VIEWTRADE FINANCIAL (BOCA RATON FL)

FL

06/20/1996 - 11/09/2000

BARRON CHASE SECURITIES, INC. (BOCA RATON FL)

FL

07/10/1992 - 07/03/1996

EURO-ATLANTIC SECURITIES INC. (BOCA RATON FL)

NA

05/03/1989 - 07/28/1992

J. W. GANT & ASSOCIATES, INC.

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Licenses & Designations

BC

Issued 04/28/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/13/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brian Marcus Herman. Review regulatory record here.
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