David E. Kiser
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Earl Kiser, who also goes by David E Kiser, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 5 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 1998 - August 19, 1998
BIRCHTREE FINANCIAL SERVICES LLC
February 7, 1990 - May 26, 1998
FIRST SPRINGFIELD SECURITIES, INC.
May 31, 1989 - February 28, 1990
FIRST AFFILIATED SECURITIES
April 10, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
April 22, 1982 - March 14, 1986
R. ROWLAND & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BIRCHTREE FINANCIAL SERVICES LLC
CRD#: 15014 / SEC#: , 8-31632
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
