Patrick S. Kaser
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.
Patrick Stanley Kaser, who also goes by Patrick S Kaser, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2016 - December 31, 2025
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
November 8, 1999 - April 5, 2002
LEGG MASON WOOD WALKER, INCORPORATED
August 12, 1996 - November 5, 1997
MORGAN STANLEY DW INC.
June 6, 1996 - August 21, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
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
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 977 |
| AUM (Assets Under Management) | $ 65,444,378,166 |
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.
