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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

FRANK FLOREZ HSIN

Advisor at KINGSWOOD WEALTH ADVISORS, LLC

Santa Barbara, CA | SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KINGSWOOD WEALTH ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 8, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 8, 2000
First registration: Sep 20, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 4131005

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KINGSWOOD WEALTH ADVISORS, LLC	Bd affiliated wealth	Jul 31, 2023	n/a	yes	Santa Barbara, CA\|SAN DIEGO, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 28, 2011	Aug 7, 2023	no	SAN DIEGO, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 7, 2011	no	SANTA BARBARA, CA\|Santa Barbara, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SANTA BARBARA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 12, 2006	Apr 2, 2007	no	SANTA BARBARA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 4, 2005	Jun 19, 2006	no	OXNARD, CA\|PORT HUENEME, CA\|SANTA BARBARA, CA\|OXNARD, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jun 17, 2004	Jul 28, 2005	no	OXNARD, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 20, 2000	Jul 21, 2003	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	KINGSWOOD WEALTH ADVISORS, LLC	Aug 7, 2023	Jul 31, 2023	-7	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 7, 2011	Oct 28, 2011	-10	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
WELLS FARGO INVESTMENTS, LLC	MORGAN STANLEY DW INC.	Jun 19, 2006	Jul 12, 2006	23	Firm change	Other
WAMU INVESTMENTS, INC.	WELLS FARGO INVESTMENTS, LLC	Jul 28, 2005	Aug 4, 2005	7	Firm change	Other
UBS FINANCIAL SERVICES INC.	WAMU INVESTMENTS, INC.	Jul 21, 2003	Jun 17, 2004	332	Firm change	Other

Relationships

Registered with (7)

→ KINGSWOOD WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Jul 31, 2023 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 28, 2011 to Aug 7, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 7, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 12, 2006 to Apr 2, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 4, 2005 to Jun 19, 2006factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 17, 2004 to Jul 28, 2005factForm ADV

Dated events

Occurred
Aug 7, 2023
Advisor changed firm
Frank Florez Hsin left Ubs Financial Services Inc. for Kingswood Wealth Advisors, Llc (registered 2023-07-31)
Form ADVobserved 4 days ago