JK
James C. Kaiser
GOOD LIFE ADVISORS
PITTSBURGH, PA 15241
Some features on this profile are disabled
CRD#: 2581844
JK
Professional summary
James Christian Kaiser is a registered financial advisor currently at GOOD LIFE ADVISORS, LLC located in Pittsburgh, Pennsylvania and LPL FINANCIAL LLC located in Pittsburgh, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1. 12/13/2017 - Grandview Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/1/2017 - 160 Hours Per Month/130 Hours During Securities Trading.
2. 12/13/2017 - Good Life IA - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/1/2017 - Agent - 160 Hours Per Month/130 Hours During Securities - Time Spent 100% - Life, Health, Disability, LTC, Fixed, Medicare Supplements and Final Expense.
3. 12/15/2017 - Good Life Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 12/1/2017 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide investment advisory services through Good Life Advisors, LLC, an independent investment advisor firm. I started this business activity in 12/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 12/15/2017 - Grandview Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 12/1/2017 - 160 Hours Per Month/130 Hours During Securities Trading - Time Spent 100%.
CRS (Client Relationship Summary) - RIA
Click below to view James Christian 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®
NoneExperience
Current
December 13, 2017 - Present
GOOD LIFE ADVISORS, LLC
Office #1: 1035 Boyce Road Suite 206, Pittsburgh, PA 15241RIA
CRD#: 171898
PITTSBURGH, PA
Current
December 13, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1035 Boyce Rd., Ste 206, Pittsburgh, PA 15241RIA
BD
CRD#: 6413
PITTSBURGH, PA
Past
January 30, 2014 - December 19, 2017
WADDELL & REED
RIA
CRD#: 866
PITTSBURGH, PA
Past
January 30, 2014 - December 19, 2017
WADDELL & REED
BD
CRD#: 866
PITTSBURGH, PA
Past
March 26, 2010 - February 4, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MCMURRAY, PA
Past
March 26, 2010 - February 4, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MCMURRAY, PA
Past
November 24, 2009 - March 26, 2010
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
MCMURRAY, PA
Past
November 23, 2005 - November 24, 2009
BRENTWOOD ADVISORS, LLC
RIA
CRD#: 119337
BETHEL PARK, PA
Past
April 7, 2005 - June 11, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
BETHEL PARK, PA
Past
April 4, 2005 - November 30, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
BETHEL PARK, PA
Past
April 17, 2003 - March 28, 2005
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
NEW CASTLE, PA
Past
April 18, 2001 - March 28, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
May 10, 2000 - April 25, 2001
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
June 24, 1998 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
June 30, 1997 - June 18, 1998
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
April 1, 1997 - June 25, 1997
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 21, 1996 - April 7, 1997
SAFEGUARD SECURITIES, INC.
BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past
July 5, 1996 - October 22, 1996
DREYFUS INVESTMENT SERVICES COMPANY, LLC
BD
CRD#: 17477
PITTSBURGH, PA
Past
March 9, 1995 - June 26, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
GL
GOOD LIFE ADVISORS, LLC
A.C. HEARNE & CO LLC | VIRTUS WEALTH MANAGEMENT | VALLEY MANOR INVESTMENT MANAGEMENT | UMBRELLA WEALTH MANAGEMENT | THE HOSKINS & RAMIREZ GROUP | SUMMIT WEALTH PLANNING | STROHM WEALTH ADVISORS, LLC | STRATEGIC WEALTH ADVISORS | SHEAR CAPITAL GROUP, LLC FINANCIAL PLANNING AND WEALTH MGT. SERVICES | SEVEN FIELDS WEALTH MANAGEMENT | SCOTT WEALTH MANAGEMENT | SALEEM & ASSOCIATES WEALTH MANAGERS | RESOLUTE FAMILY WEALTH ADVISORS | PRINCIPLE WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL SERVICES | PCG WEALTH MANAGEMENT | OPUS WEALTH MANAGEMENT GROUP | MY PLANNING PRO | MODERN FAMILY ASSET MANAGEMENT | MCCALEB WEALTH MANAGEMENT | LS INVESTMENT MANAGEMENT | LPL FINANCIAL | LORD INVESTMENT GROUP, LLC | LIGHTHOUSE FINANCIAL | INDEPENDENT RETIREMENT PARTNERS, LLC | GRANDVIEW WEALTH MANAGEMENT | GRADVIEW EWEALTH MANAGEMENT | GOOD LIFE FINANCIAL GROUP OF WYOMISSING | GOOD LIFE FINANCIAL GROUP | GOOD LIFE FINANCIAL ADVISORS OF ORLANDO | GOOD LIFE FINANCIAL ADVISORS OF NOVA | GOOD LIFE FINANCIAL ADVISORS OF MT. PLEASANT, SC | GOOD LIFE FINANCIAL ADVISORS OF CENTRAL FLORIDA | GOOD LIFE FINANCIAL ADVISORS OF CELEBRATION | GOOD LIFE FINANCIAL ADVISORS | GOOD LIFE COMPANIES | GOOD LIFE ADVISORS, LLC | GOOD LIFE ADVISORS OF WEST MICHIGAN | GOOD LIFE ADVISORS OF THE LEHIGH VALLEY | GOOD LIFE ADVISORS OF MT. PLEASANT SC | GOOD LIFE ADVISORS OF BERKS COUNTY | GENERATIONS ASSET MANAGEMENT | GDI WEALTH PLANNING GROUP | FREEDOM INVESTMENT MANAGEMENT | FREEDOM FIRST WEALTH MANAGEMENT | FIRESIDE FINANCIAL PARTNERS | ETHOS WEALTH MANAGEMENT | DSG WEALTH MANAGEMENT | DANZER WEALTH MANAGEMENT | CROSS ROADS INVESTMENT MANAGEMENT | CORNERSTONE WEALTH MANAGEMENT - DEATON PRICE GROUP | CORNERSTONE FINANCIAL MANAGEMENT - THE TEMPLETON GROUP | CORNERSTONE FINANCIAL MANAGEMENT | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES | CITADEL FINANCIAL PLANNING | BLUESAFE FINANCIAL | BLACK DIAMOND FINANCIAL GROUP | BEGBIE WEALTH ADVISORY LLC | APEIRON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ADVICE ONLY FINANCIAL PLANS
CRD#: 171898 / SEC#: 801-80003
RIA
Registered Investment Advisory firm - (7/7/2014 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/12/2018)
RR
Florida(8/26/2019)
RR
Pennsylvania(12/13/2017)
IAR
Pennsylvania(12/13/2017)
RR
Texas(4/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GL
GOOD LIFE ADVISORS, LLC
A.C. HEARNE & CO LLC | VIRTUS WEALTH MANAGEMENT | VALLEY MANOR INVESTMENT MANAGEMENT | UMBRELLA WEALTH MANAGEMENT | THE HOSKINS & RAMIREZ GROUP | SUMMIT WEALTH PLANNING | STROHM WEALTH ADVISORS, LLC | STRATEGIC WEALTH ADVISORS | SHEAR CAPITAL GROUP, LLC FINANCIAL PLANNING AND WEALTH MGT. SERVICES | SEVEN FIELDS WEALTH MANAGEMENT | SCOTT WEALTH MANAGEMENT | SALEEM & ASSOCIATES WEALTH MANAGERS | RESOLUTE FAMILY WEALTH ADVISORS | PRINCIPLE WEALTH MANAGEMENT GROUP | PILLAR FINANCIAL SERVICES | PCG WEALTH MANAGEMENT | OPUS WEALTH MANAGEMENT GROUP | MY PLANNING PRO | MODERN FAMILY ASSET MANAGEMENT | MCCALEB WEALTH MANAGEMENT | LS INVESTMENT MANAGEMENT | LPL FINANCIAL | LORD INVESTMENT GROUP, LLC | LIGHTHOUSE FINANCIAL | INDEPENDENT RETIREMENT PARTNERS, LLC | GRANDVIEW WEALTH MANAGEMENT | GRADVIEW EWEALTH MANAGEMENT | GOOD LIFE FINANCIAL GROUP OF WYOMISSING | GOOD LIFE FINANCIAL GROUP | GOOD LIFE FINANCIAL ADVISORS OF ORLANDO | GOOD LIFE FINANCIAL ADVISORS OF NOVA | GOOD LIFE FINANCIAL ADVISORS OF MT. PLEASANT, SC | GOOD LIFE FINANCIAL ADVISORS OF CENTRAL FLORIDA | GOOD LIFE FINANCIAL ADVISORS OF CELEBRATION | GOOD LIFE FINANCIAL ADVISORS | GOOD LIFE COMPANIES | GOOD LIFE ADVISORS, LLC | GOOD LIFE ADVISORS OF WEST MICHIGAN | GOOD LIFE ADVISORS OF THE LEHIGH VALLEY | GOOD LIFE ADVISORS OF MT. PLEASANT SC | GOOD LIFE ADVISORS OF BERKS COUNTY | GENERATIONS ASSET MANAGEMENT | GDI WEALTH PLANNING GROUP | FREEDOM INVESTMENT MANAGEMENT | FREEDOM FIRST WEALTH MANAGEMENT | FIRESIDE FINANCIAL PARTNERS | ETHOS WEALTH MANAGEMENT | DSG WEALTH MANAGEMENT | DANZER WEALTH MANAGEMENT | CROSS ROADS INVESTMENT MANAGEMENT | CORNERSTONE WEALTH MANAGEMENT - DEATON PRICE GROUP | CORNERSTONE FINANCIAL MANAGEMENT - THE TEMPLETON GROUP | CORNERSTONE FINANCIAL MANAGEMENT | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES | CITADEL FINANCIAL PLANNING | BLUESAFE FINANCIAL | BLACK DIAMOND FINANCIAL GROUP | BEGBIE WEALTH ADVISORY LLC | APEIRON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ADVICE ONLY FINANCIAL PLANS
CRD#: 171898 / SEC#: 801-80003
RIA
Registered Investment Advisory firm - (7/7/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2395 Lancaster Pike, Reading, PA 19607
Mailing Address
Phone number
(610) 898-6927
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,113 |
| AUM (Assets Under Management) | $ 3,486,583,189 |
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.
