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Compliance

Compliance Team

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

Not sure where to start? Email Mike Alsoraimi, Chief Compliance Officer: malsoraimi@kingswoodus.com

Team Directory

M. Alsoraimi

Mike Alsoraimi

Chief Compliance Officer
T. Bashaw

Tyler Bashaw

Director of Compliance
E. Joyner

Eli Joyner

Compliance Specialist

ejoyner@kingswoodus.com
347-218-5209
Specialties: Compliance admin support

Raj Shaw

Compliance Specialist

rshaw@kingswoodus.com
800-535-6981
Specialities: email archiving setup

Third Party Partnerships

We work with several third-party vendors to help your back office run smoothly. If you have questions about any of them and how they can help your firm, please contact the operations team.

Company: FINRA Financial Professional Gateway (FINPRO)
Service Provided: Website where you can review your U4s, check the status of your CE and other relevant FINRA info
Log-in Page: https://ews.finra.org/auth/logon?realm=ews&goto=https://finpro.finra.org:443//
Who to Contact for Help: FINRA at (240) 386-4040
How to Access: Create a log-in from the log-in page above

Company: Quest CE
Service Provided: 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.
Log-in Page: https://learn.questce.com/
Who to Contact for Help: Quest CE. Please contact Joellyn Jones at jjones@questce.com
How to Access: Kingswood establishes access after you are onboarded