Christian W. Kiser

IHS HEROLD

Norwalk, CT 06854

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CRD#: 2937982

Professional summary

Christian Waugh Kiser is a registered financial advisor currently at IHS HEROLD INC. located in Norwalk, Connecticut.

Christian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christian has worked at 3 firms and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Waugh Kiser'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®

None

Experience

Current

January 8, 2016 - Present

IHS HEROLD INC.

Office #1: 200 Connecticut Ave. 3rd Floor, Norwalk, CT 06854

RIA

CRD#: 127160

Norwalk, CT

Past

October 4, 2010 - December 31, 2015

IHS HEROLD INC.

RIA

CRD#: 127160

NORWALK, CT

Past

June 18, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

November 3, 1997 - August 26, 2005

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/8/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/6/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/31/1997

General Securities Representative Examination

Current Firm

IHS HEROLD INC.

IHS HEROLD INC. | JOHN S. HEROLD INC.

CRD#: 127160 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/8/2016 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2015 Failure to Renew)

Massachusetts

Registered Investment Advisory firm - (2/17/2016 Approved)

Texas

Registered Investment Advisory firm - (12/31/2015 Failure to Renew)

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Contact information

Main Address

55 Post Rd. West 2nd Floor, Westport, CT 06880

Mailing Address

Phone number

(203) 847-3344

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Christian W. Kiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christian Waugh Kiser's CRS (Customer Relationship Summary).

Certified licenses

Experience

IHS HEROLD INC.

IHS HEROLD INC.

SBC WARBURG DILLON READ INC.

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/1997

Series 7

Date: 10/31/1997

Current Firm

IHS HEROLD INC.

Contact information

Documents

Red Flags

Company Information

IHS HEROLD INC.

TRUST BUT VERIFY

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