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Karen Sterling

Kingswood Capital Partners, LLC

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About Karen Sterling

Karen Sterling is a financial professional with over 14 years of experience in the financial services industry. Karen is currently registered with Kingswood Capital Partners, LLC in San Diego, California. Karen is a Series 7, Series 63, Series 86, Series 87, Series 79TO, Series 16, and SIE licensed professional and holds a registration in New York. Prior to joining Kingswood Capital Partners, LLC Karen was affiliated with Westpark Capital, Inc. and Avalon Securities, LTD.

Firm Information

Karen Sterling 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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Karen Sterling’s Registration & Firm History

CA

11/02/2023 - Present

Kingswood Capital Partners, LLC (SAN DIEGO CA)

CA

10/05/2022 - 11/01/2023

WESTPARK CAPITAL, INC. (LOS ANGELES CA)

NY

12/10/2021 - 09/13/2022

AVALON SECURITIES, LTD. (NEW YORK NY)

NY

05/13/2009 - 12/16/2019

AVALON SECURITIES, LTD. (NEW YORK NY)

NY

04/09/2009 - 04/23/2009

SPENCER CLARKE LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/17/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/26/2024

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 01/27/2023

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/13/2023

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Karen Sterling.
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