Compliance
The Compliance Team is here to help ensure that your firm (and Kingswood) are in compliance with all industry rules and regulations. Here are just a few of the many areas in which we work with you:
Compliance Questions
Marketing Material Review
Tools for Compliance
Access key resources for the Compliance team
Past Reports
Download past reports on compliance and risk
2024 FINRA Annual Regulatory Oversight Report2023 Report on FINRA’s Examination Risk Monitoring Program2022 Report on FINRA’s Examination Risk Monitoring Program
Not sure where to start? Email Mike Alsoraimi, Chief Compliance Officer
Team Directory
Find and contact team members
Linda Sofi
Compliance Analyst
lsofi@kingswoodus.com
(786) 634-2479
(619) 655-0627
Specialties
Mike Alsoraimi
Chief Compliance Officer
malsoraimi@kingswoodus.com
(858) 376-3140
(858) 376-3140
Specialties
Tyler Bashaw
Director - Compliance
tbashaw@kingswoodus.com
(561) 232-6235
(561) 385-8845
Specialties
Stacey Lavender
Compliance & Supervision
slavender@kingswoodus.com
(800) 535-6981
(310) 498-5019
Specialties
Ramiro Herrera
Compliance Analyst
rherrera@kingswoodus.com
(858) 215-2005
(858) 652-9462
Specialties
Third Party Partnerships
We work with several third-party vendors to help your back office run smoothly. If you have any questions about these partnerships and how they can help your firm, please contact the Operations team.
Global Relay
Compliance-focused communication, archiving, and risk management for financial firms
Get Help
How to Access
Appriver
Cloud security solutions ensuring data privacy and regulatory compliance
Get Help
How to Access
AI Insight
Information and education on alternative investments
Get Help
AI Insight Customer Care - (877) 794-9448, Ext. 710 or customercare@aiinsight.com
How to Access
TBD
Quest CE
This secure, user-friendly platform offers a variety of retail continuing education courses for licensed professionals as well as e-commerce compliance training and tracking programs for member firms.
Get Help
Quest CE. Please contact Joellyn Jones at jjones@questce.com
How to Access
Kingswood establishes access after you are onboarded
FINRA Financial Professional Gateway (FINPRO)
Website where you can review your U4s, check the status of your CE and other relevant FINRA info
Get Help
FINRA at (240) 386-4040
How to Access
Create a log-in from the log-in page above