SC
CFP
SC
CFP
Steven Collins is a CFP-designated registered investment advisor, based in Phoenix, AZ, with 38 years of industry experience.
Location
Phoenix, AZ
Get directionsHistory
Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2011Settled
Customer Dispute
November 2008Denied
Customer Dispute
October 2008Closed-No Action
Customer Dispute
July 2005Denied
Customer Dispute
May 2004Denied
Customer Dispute
November 2003Denied
Customer Dispute
March 2003Denied
Employment Separation After Allegations
August 1992Other Business ActivitiesSells Insurance
Steven is an independent insurance agent for The Collins Group, selling life insurance and variable annuities since 1982. This investment-related activity takes about a third of his time during securities trading hours.
Employment History
Current Registrations
Kingswood Capital Partners, LLCBroker
June 2018 - Present · 7 yrs 11 mos
Kingswood Capital Partners, LLC
June 2018 - Present · 7 yrs 11 mos
Kingswood Wealth Advisors, LLC
August 2017 - Present · 8 yrs 9 mos
Previous Registrations
Niagara International Capital LimitedBroker
August 2017 - June 2018 · 10 mos
Financial West Group
July 2006 - August 2017 · 11 yrs 1 mo
Financial West GroupBroker
June 2006 - August 2017 · 11 yrs 2 mos
Eagle Strategies CORP
May 1998 - June 2006 · 8 yrs 1 mo
Nylife Securities INC.Broker
May 1993 - June 2006 · 13 yrs 1 mo
Aal Capital Management CorporationBroker
June 1987 - August 1992 · 5 yrs 2 mos
State Registrations9 states
AZCAILNCOHORSCTXWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.