David R. Kaser

KMG FIDUCIARY PARTNERS

TOLEDO, OH 43617

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CRD#: 1172233

Professional summary

David Richard Kaser, CFP® is a registered financial advisor currently at KMG FIDUCIARY PARTNERS, LLC located in Toledo, Ohio.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Richard Kaser's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Current

September 21, 2018 - Present

KMG FIDUCIARY PARTNERS, LLC

Office #1: 7530 Kings Pointe Road, Toledo, OH 43617

RIA

CRD#: 298331

TOLEDO, OH

Past

June 1, 2009 - September 24, 2018

MORGAN STANLEY

RIA

CRD#: 149777

TOLEDO, OH

Past

June 1, 2009 - September 24, 2018

MORGAN STANLEY

CRD#: 149777

TOLEDO, OH

Past

April 29, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

TOLEDO, OH

Past

April 29, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

TOLEDO, OH

Past

August 18, 1999 - May 5, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SYLVANIA, OH

Past

January 10, 1992 - May 5, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SYLVANIA, OH

Past

May 6, 1985 - February 25, 1992

CONTINENTAL CAPITAL SECURITIES, INC

CRD#: 14635

SYLVANIA, OH

Past

August 23, 1983 - May 3, 1985

A. G. EDWARDS & SONS, INC.

CRD#: 4

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KMG FIDUCIARY PARTNERS, LLC

BARDOT ADVISORS, LLC | KMG FIDUCIARY PARTNERS, LLC

CRD#: 298331 / SEC#: 801-113981

RIA

Registered Investment Advisory firm - (9/13/2018 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(9/21/2018)

IAR

Texas
(9/21/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/5/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/28/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1987

General Securities Principal Examination

Current Firm

KMG FIDUCIARY PARTNERS, LLC

BARDOT ADVISORS, LLC | KMG FIDUCIARY PARTNERS, LLC

CRD#: 298331 / SEC#: 801-113981

RIA

Registered Investment Advisory firm - (9/13/2018 Approved)

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Contact information

Main Address

7530 Kings Pointe Road, Toledo, OH 43617

Mailing Address

Phone number

(419) 517-8040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR KMG FIDUCIARY PARTNERS, LLC (3/4/2025)

Regulatory assets under management

Total Number of Accounts	3,849
AUM (Assets Under Management)	$ 1,598,774,979

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.

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Advisor Monitoring

Firm Stability Insights

David R. Kaser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Richard Kaser's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CONTINENTAL CAPITAL SECURITIES, INC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

KMG FIDUCIARY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/1996

Series 63

Date: 8/29/1983

SIE

Date: 9/24/2018

Series 31

Date: 8/5/1997

Series 7

Date: 8/20/1983

Series 4

Date: 7/28/1988

Series 24

Date: 3/3/1987

Current Firm

KMG FIDUCIARY PARTNERS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KMG FIDUCIARY PARTNERS, LLC

TRUST BUT VERIFY

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