Donald J. Kaiser

INVESTMENT MANAGEMENT

LONG BEACH, CA

Some features on this profile are disabled

CRD#: 1340996

Professional summary

Donald Jay Kaiser is a registered financial advisor currently at INVESTMENT MANAGEMENT located in Long Beach, California.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Donald has worked at 4 firms and has passed the Series 7 exam.

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 Donald Jay Kaiser's 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®

None

Experience

Current

April 19, 2011 - Present

INVESTMENT MANAGEMENT

RIA

CRD#: 156523

LONG BEACH, CA

Past

November 22, 1995 - November 15, 2010

REGENCY SECURITIES, INC.

CRD#: 7846

LONG BEACH, CA

Past

November 19, 1989 - November 3, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 21, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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

California
(4/19/2011)

IAR

Texas
(9/7/2018)

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

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Current Firm

INVESTMENT MANAGEMENT

DONALD J. KAISER | KAISER, DONALD JAY | INVESTMENT MANAGEMENT

CRD#: 156523 / SEC#:

California

Registered Investment Advisory firm - (4/19/2011 Approved)

Louisiana

Registered Investment Advisory firm - (12/7/2020 Terminated)

New Mexico

Registered Investment Advisory firm - (11/7/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/25/2011 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Long Beach, CA

Mailing Address

Phone number

(562) 434-8222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Donald J. Kaiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Jay Kaiser's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT MANAGEMENT

REGENCY SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 7

Date: 2/16/1985

Current Firm

INVESTMENT MANAGEMENT

Contact information

Documents

Red Flags

Company Information

INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Similar Advisors