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RK

Robert Gene Kaiser

CRD# 1342230·Registered 1985 - 2016
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Gene Kaiser, who also goes by Bob Kaiser, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1985 - 2016. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Kaiser

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

GULF SOUTH SECURITIES, INC·CRD# 149899
BD
New Orleans, LA
March 24, 2015 - November 9, 2016
PTX SECURITIES, LLC·CRD# 7735
BD
Plano, TX
October 28, 2013 - January 27, 2014
HARBOR LIGHT SECURITIES, LLC·CRD# 130227
BD
Tampa, FL
June 14, 2012 - October 22, 2013
IMS SECURITIES, INC.·CRD# 35567
BD
Houston, TX
June 8, 2009 - June 13, 2012
EMERALD VENTURES, LLC·CRD# 141966
BD
San Antonio, TX
June 25, 2007 - June 4, 2008
THE VARIABLE ANNUITY MARKETING COMPANY·CRD# 5081
BD
September 13, 1991 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
July 13, 1989 - July 11, 1990
PRUCO SECURITIES, LLC.·CRD# 5685
BD
July 13, 1989 - July 11, 1990
THE COLUMBIAN SECURITIES CORPORATION·CRD# 169
BD
September 8, 1987 - June 26, 1989
PRUCO SECURITIES, LLC.·CRD# 5685
BD
February 14, 1985 - November 13, 1987

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Current Firm

GS
GULF SOUTH SECURITIES, INC

GULF SOUTH SECURITIES, INC

CRD#: 149899 / SEC#: 8-68200
BD
Terminated by SEC on 05/06/2017

Contact Information

Established

Delaware since 01/22/2009

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GULF SOUTH HOLDING, INC.SHAREHOLDER—
BEATON, DANIEL STEWARTFINOP AND CFO4240769
FLANAGAN, TIMOTHY JOHNDIRECTOR, PRESIDENT AND CHIEF COMPLIANCE OFFICER—

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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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2007About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 22 — Direct Participation Programs Representative Examination

Passed Jun 2007About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1984About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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