Mike Alsoraimi is the Co-Chief Compliance Officer for Kingswood Group U.S., and the Chief Compliance Officer and Head of Operations for Kingswood Capital Partners and Kingswood Wealth Advisors. He also serves as the firm’s chief legal/risk and AML officer.

With over 12 years of industry experience, Mike has served in back-office, sales and compliance roles at TD Ameritrade, AXA and most recently CUSO Financial Services where he was a regulatory specialist serving as the firm’s Department of Labor designee. His experience has given him a well-rounded understanding of the Broker/Dealer business and the financial services industry in general.

Mike earned a BA from the University of Michigan and a JD from Western Sierra Law School in California.

Mike currently holds FINRA licenses 4, 7, 52, 53, 66, and 99, as well as life and variable agent insurance licenses.