Adam J. Kaiser
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.
Adam Jeffrey Kaiser was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1994. Adam had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2010 - October 17, 2013
FUSION ANALYTICS SECURITIES LLC
April 26, 2010 - July 12, 2010
KERN, SUSLOW SECURITIES, INC.
December 14, 2009 - April 30, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 21, 2009 - April 30, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 24, 2009 - October 9, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 5, 1999 - October 9, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 1999 - October 9, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 18, 1994 - October 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FUSION ANALYTICS SECURITIES LLC
CRD#: 124245 / SEC#: , 8-65649
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
