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Kevin John Ernst

Kingswood Capital Partners, LLC

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About Kevin John Ernst

Kevin John Ernst is a financial advisor with Kingswood Capital Partners, LLC, a firm with offices in New York. Kevin has been in the industry since December 4, 2005. Kevin has Series 7, 63 and 66 licenses. Kevin is a registered investment advisor in Connecticut, Florida, New Jersey, and New York.

Firm Information

Kevin Ernst 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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Kevin Ernst’s Registration & Firm History

NY

06/23/2023 - Present

Kingswood Capital Partners, LLC (New York NY)

NY

08/24/2022 - 04/17/2023

PRIME EXECUTIONS, INC. (NEW YORK NY)

NY

03/18/2020 - 12/09/2021

PLURIS CAPITAL GROUP, INC. (NEW YORK NY)

NY

12/05/2016 - 03/22/2018

J. STREICHER CAPITAL LLC (NEW YORK NY)

NJ

07/29/2014 - 12/22/2014

BUCKMAN, BUCKMAN & REID, INC. (SHREWSBURY NJ)

NY

12/13/2011 - 08/06/2012

DU PASQUIER & CO., INC. (NEW YORK NY)

NY

03/31/2011 - 11/16/2011

CONCEPT CAPITAL MARKETS, LLC (NEW YORK NY)

NY

06/15/2009 - 12/15/2010

GRANDVIEW CAPITAL, INC. (NY NY)

NJ

01/11/2000 - 09/01/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

12/21/1989 - 01/04/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 09/30/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/26/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 03/22/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kevin John Ernst.
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