Ralph Gunther Kaiser
Professional Summary
Ralph Gunther Kaiser was a registered financial advisor. Ralph was a previously registered financial professional and started their career in finance 1973 - 2009. Ralph had worked at 14 firms and has passed the Series 63, Series 3, Series 7, Series 15, Series 1, Series 27, Series 4, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
53 years in the financial services industry
Current & Past Employments
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Current Firm
CRAIG-HALLUM CAPITAL GROUP, INC. | THINKPANMURE LLC | THINKPANMURE | THINKEQUITY PARTNERS LLC | THINKEQUITY PARTNERS | THINKEQUITY LLC
Contact Information
Established
Delaware since 03/06/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKEQUITY HOLDINGS LLC | HOLDING COMPANY OF THINKEQUITY LLC | — |
| ARMSTRONG, MICHAEL BENJAMIN | CHIEF OPERATING OFFICER OF RESEARCH | 2806297 |
| BRITT, HARRIET JAYNE | CHIEF COMPLIANCE OFFICER | 1429634 |
| GONSALVES, DOUGLAS RONALD | HEAD OF INVESTMENT BANKING | 2356831 |
| HANSEN, HOLLY JOY | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | 2169008 |
| JOHNSTON, PHILIP MURRAY | HEAD OF SALES TRADING | 1730461 |
| MACHIN, FRANCISCO JAVIER | CONTROLLER/FINOP | 4698240 |
| MONOPOLI, JACK GIACOMO | HEAD OF TRADING | 1718078 |
| NOLLENBERGER, BRUCE WESTON | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | 823846 |
| RAJ, DEEPAK DEV | EXECUTIVE VICE PRESIDENT | 2817606 |
| WEITGENANT, DAVID ANDREW | CROP & SROP | 2096196 |
| WRIGHT, GREGORY LANCE | CHIEF EXECUTIVE OFFICER | 1564124 |
Disclosures
Regulatory Event
4Arbitration
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jun 1983Series 1 — Registered Representative Examination
Passed Nov 1973Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1984Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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