KK
Kevin M. Kaiser
SAGEVIEW ADVISORY GROUP
GLENVIEW, IL 60026
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CRD#: 2759577
KK
Professional summary
Kevin Michael Kaiser, AIF®, CIMA® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Glenview, Illinois and CETERA WEALTH SERVICES, LLC located in Glenview, Illinois.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 8 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.NAME OF OTHER RIA BUSINESS: SAGEVIEW ADVISORY SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT
START DATE: 2014
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: PROVIDE ADMINISTRATIVE SUPPORT TO INVESTMENT ADVISOR
2. NAME OF OTHER BUSINESS: KAISER PROPERTIES, LLC
INVESTMENT RELATED: NO
ADDRESS: 3332 BELLWOOD LANE GLENVIEW IL
NATURE OF BUSINESS: RENTAL PROPERTY
START DATE: 2007
APX NUMBER OF HOURS PER WEEK: LESS THAN ONE
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN ONE
BRIEF DESCRIPTION OF DUTIES: PRESIDENT, MANAGE THE OPERATIONS
3. NAME OF OTHER BUSINESS: KEVIN KAISER, TRUSTEE
INVESTMENT RELATED: NO
ADDRESS: 1307 BRENTWOOD PLACE, JOILET IL
NATURE OF BUSINESS: TRUSTEE FOR PARENTS
START DATE:
APX NUMBER OF HOURS PER WEEK: MINIMAL
APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL
BRIEF DESCRIPTION OF DUTIES: CONTINGENT TRUSTEE FOR PARENTS REVOCABLE TRUST
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael 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®
Experience
Current
November 3, 2014 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 2700 Patriot Blvd Suite 250, Glenview, IL 60026RIA
CRD#: 126777
GLENVIEW, IL
Current
November 5, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2700 Patriot Blvd Suite 250, Glenview, IL 60026BD
CRD#: 13572
Glenview, IL
Past
March 20, 2006 - October 7, 2014
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
September 19, 2001 - December 31, 2009
MESIROW FINANCIAL, INC.
RIA
CRD#: 2764
HIGHLAND PARK, IL
Past
May 17, 2000 - October 7, 2014
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
HIGHLAND PARK, IL
Past
January 3, 2000 - May 2, 2000
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
August 31, 1998 - October 19, 1999
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
April 2, 1998 - August 19, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
July 9, 1996 - April 6, 1998
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, 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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
IAR
Illinois(11/3/2014)
RR
Illinois(11/5/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Company Information
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Glenview, IL 60026TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
