James G. Kaiser

FMG DISTRIBUTORS

New Canaan, CT

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CRD#: 1095441

Professional summary

James Gerard Kaiser is a registered financial advisor currently at FMG DISTRIBUTORS, INC. located in New Canaan, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 5, 1991 - Present

FMG DISTRIBUTORS, INC.

Office #2: 557 Oenoke Ridge Road, New Canaan, CT 06840

CRD#: 29243

New Canaan, CT

Past

December 19, 2005 - September 5, 2007

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

May 12, 2000 - September 5, 2007

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

STAMFORD, CT

Past

July 28, 1999 - April 11, 2000

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

Past

August 17, 1988 - March 22, 1990

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

May 27, 1986 - March 15, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

December 7, 1985 - June 6, 1986

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

October 4, 1984 - June 30, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 9, 1984 - December 18, 1984

SALLIS SECURITIES CO.

CRD#: 13194

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(6/11/1996)

Florida
(6/14/2018)

Georgia
(11/21/2024)

New Jersey
(8/30/2021)

Tennessee
(3/11/2025)

Texas
(6/25/2018)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/1983

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FMG DISTRIBUTORS, INC.

CRD#: 29243 / SEC#: , 8-44258

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

557 Oenoke Ridge Road, New Canaan, CT 06840

Mailing Address

557 Oenoke Ridge Road, New Canaan, CT 06840

Phone number

(203) 354-4910

Established

Connecticut since 09/19/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KAISER, JAMES GERARD	PRESIDENT-CCO

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James G. Kaiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Gerard Kaiser's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

ARM SECURITIES CORPORATION

DIRECTED SERVICES LLC

THOMSON MCKINNON SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

SALLIS SECURITIES CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2004

Series 63

Date: 5/15/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 14

Date: 1/2/2023

Series 24

Date: 6/27/1983

FINRA

Current Firm

FMG DISTRIBUTORS, INC.

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FMG DISTRIBUTORS, INC.

TRUST BUT VERIFY

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