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Lisa Ann Ciervo

Kingswood Capital Partners, LLC

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About Lisa Ann Ciervo

Lisa Ciervo is a financial professional with over 20 years of experience in the securities industry. Currently, Lisa is registered with Kingswood Capital Partners, LLC and holds Series 7, 99, 57, 79, 62, 55, and SIE licenses. Lisa has previously held positions with Viewtrade Securities, Inc., Dawson James Securities, Inc., Newbridge Securities Corporation, Westminster Securities Corporation, and J. Alexander Securities, Inc. Lisa also holds a General Securities Principal License (Series 24). Lisa is registered in Florida.

Firm Information

Lisa Ciervo 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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Lisa Ciervo’s Registration & Firm History

FL

01/03/2023 - Present

Kingswood Capital Partners, LLC (Boca Raton FL)

FL

04/15/2013 - 01/09/2023

VIEWTRADE SECURITIES, INC. (BOCA RATON FL)

FL

10/24/2011 - 02/05/2013

DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)

FL

08/09/2005 - 10/24/2011

NEWBRIDGE SECURITIES CORPORATION (BOCA RATON FL)

NY

10/14/2004 - 09/07/2005

WESTMINSTER SECURITIES CORPORATION (NEW YORK NY)

CA

02/24/2000 - 10/07/2004

J. ALEXANDER SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 01/11/2012

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/17/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/23/2000

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Ann Ciervo.
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