RK
Richard P. Kaiser
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CRD#: 2095123
RK
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.
Richard Paul Kaiser, who also goes by Rick Kaiser, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Kaiser
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.
LICENSED AS AN INDEPENDENT INSURANCE AGENT TO SELL FIXED INSURANCE PRODUCTS; *TAX AND ACCOUNTING PRACTICE; SAME AS BRANCH; NON-INV REL; PROVIDE ACCOUNTING SERVICES AND TAX PREPARATION FOR INDIVIDUALS AND SMALL BUSINESS OWNERS IN THE EAST BAY OF SAN FRANCISCO; PARTNER; START DATE=01/2002; HRS/MO=210; TRADING HRS/MO=135; PREPARE TAX FORMS, SUPERVISE BOOKKEEPING AND PAYROLL SERVICES AND PROVIDE CONSULTATIONS WITH CLIENTS REGARDING TAX AND FINANCIAL ITEMS; *KAISER FAMILY WINERY; SAME AS RESIDENCE; NON-INV REL; WINERY; PRESIDENT/WINEMAKER; START DATE=05/2014; HRS/MO=15; TRADING HRS/MO=0; SUPERVISING THE PICKING OF THE FRUIT, OVERSEEING THE CRUSHING OF THE GRAPES, PERFORMING THE FERMENTATION, OVERSEEING THE PRESSING AND RACKING OF THE JUICE AND PERFORMING ALL TESTING AND BABYSITTING OF THE WINE WHILE IN THE BARRELS, I AM ALSO IN CHARGE OF SALES AS WELL AS THE BOOKKEEPING; *MIC'S RESTAURANT LLC; NON INV REL; 713 WASHINGTON STREET STE B CALISTOGA CA 94515; PARTNER; START DATE=11/2016; HRS/MO=15; TRADING HRS/MO=0;HANDLE COMPLIANCE AND INSURANCE*Calistoga Winegrowers Association; Non/Inv-Rel; PO Box 1299; Calistoga CA 94515;nonprofit organization established to promote the Calistoga AVA; Member Director; Director; Start Date=12/1/2020; Hrs/Mo=5; Trading Hrs/Mo=0; Participate in board meetings and accept assignments such as working on Holiday party or marketing events * Calistoga Chamber of Commerce; non inv rel; PO BOX, Calistoga, CA 94515; local chamber office; Board Member; start date=01/2022; hrs/mo=2; trading hrs.mo=2; attend BOD meetings * Rotary Club of Calistoga; non inv rel; PO BOX 754, Calistoga, CA 94515; non-profit service organization; President; start date=07/2022; hrs/mo=20; trading hrs/mo=10; run meetings, oversee various committees, run board meetings * Santa Rosa Country Club; non inv rel; 333 Country Club Dr, Santa Rosa, CA 95401; country club; Food & Beverage Committee Chairperson; start date=07/2022; hrs.mo=5; trading hrs/mo=2; meet once a month with club manager, F&B director and chef, report to the Board of Governors results and proposed actions * Up Valley Tax Service; same as branch; non inv rel; Tax preparation; President; start date=10/2022; hrs/mo=40; trading hrs/mo=40; preparation of Income Tax Returns for individuals, LLCs, Trusts and Corporations * City of Calistoga; non inv rel; Washington St, Calistoga, CA 94515; City Planning Department; Planning Commissioner; start date=01/2022; hrs/mo=6; trading hrs/mo=0; attend two meetings per month to review, discuss and vote on items that the Planning Director feels need approval of the commissioners
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 1, 2021 - November 2, 2023
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
ANTIOCH, CA
Past
June 30, 2006 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
CALISTOGA, CA
Past
June 30, 2006 - November 2, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
CALISTOGA, CA
Past
August 1, 2003 - July 31, 2009
EMMETT A LARKIN COMPANY, INC.
RIA
CRD#: 6625
SAN FRANCISCO, CA
Past
November 22, 1999 - June 30, 2006
CARILLON INVESTMENTS, INC.
RIA
CRD#: 14646
ANTIOCH, CA
Past
July 7, 1999 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
ANTIOCH, CA
Past
July 25, 1997 - July 14, 1999
EMMETT A LARKIN COMPANY, INC.
BD
CRD#: 6625
SAN FRANCISCO, CA
Past
June 26, 1997 - May 19, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 26, 1997 - May 19, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 15, 1995 - July 23, 1997
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
October 5, 1990 - June 16, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
