Karla K. Kaiser
Professional summary
Karla Kay Kaiser is a registered financial professional currently at SAXONY SECURITIES, INC. located in Dubuque, Iowa.
Karla is registered as a RR (Registered Representative) and started their career in finance in 1998. Karla has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karla Kay Kaiser's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2006 - Present
SAXONY SECURITIES, INC.
Office #1: 2728 Asbury Rd Ste 110, Dubuque, IA 52001June 9, 2003 - April 4, 2006
NATIONAL PLANNING CORPORATION
November 2, 2001 - June 12, 2003
WALNUT STREET SECURITIES, INC.
April 1, 1998 - November 1, 2001
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2022)
(4/17/2006)
(4/17/2006)
(4/7/2006)
(4/17/2006)
(4/17/2006)
(4/17/2006)
Exams
FINRA
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Company Information
SAXONY SECURITIES, INC.
CRD#: 115547Dubuque, IA 52001TRUST BUT VERIFY
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