RK
Robert F. Kaiser
SATURNA CAPITAL
BELLINGHAM, WA 98225-4730
Some features on this profile are disabled
CRD#: 4310984
RK
Professional summary
Robert F Kaiser, who also goes by Robert F Kaiser II, Robert Frank Kaiser Ii, Max Kaiser, is a registered financial advisor currently at SATURNA CAPITAL CORPORATION located in Bellingham, Washington and SATURNA BROKERAGE SERVICES, INC located in Bellingham, Washington.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert F Kaiser Ii | Robert Frank Kaiser Ii | Max Kaiser
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.
Pipeline Software 101 Prospect St. Bellingham, WA 98225 CEO Management of developers, strategy, and selling product.
CRS (Client Relationship Summary) - RIA
Click below to view Robert F 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®
NoneExperience
Current
December 19, 2022 - Present
SATURNA CAPITAL CORPORATION
Office #1: 1300 N State St., Bellingham, WA 98225-4730RIA
CRD#: 25586
BELLINGHAM, WA
Current
September 9, 2022 - Present
SATURNA BROKERAGE SERVICES, INC
Office #1: 1300 N. State Street, Bellingham, WA 98225-4730BD
CRD#: 18437
BELLINGHAM, WA
Past
February 12, 2001 - June 30, 2005
SATURNA BROKERAGE SERVICES, INC
BD
CRD#: 18437
BELLINGHAM, WA
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".
SC
SATURNA CAPITAL CORPORATION
EMERALD CAPITAL CORPORATION | STERLING STOCK INVESTMENTS LLC | SATURNA CAPITAL CORPORATION
CRD#: 25586 / SEC#: 801-35428, 8-41998
RIA
Registered Investment Advisory firm - FINRA (10/30/1989 Approved)BD
Terminated by FINRA on 11/02/1990
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
RR
Alabama(11/8/2023)
RR
Alaska(11/8/2023)
RR
Arizona(11/8/2023)
RR
Arkansas(11/8/2023)
RR
California(11/8/2023)
RR
Colorado(11/8/2023)
RR
Connecticut(11/8/2023)
RR
Delaware(11/8/2023)
RR
District of Columbia(11/8/2023)
RR
Florida(11/8/2023)
RR
Georgia(11/8/2023)
RR
Hawaii(11/8/2023)
RR
Idaho(11/8/2023)
RR
Illinois(11/8/2023)
RR
Indiana(11/8/2023)
RR
Iowa(11/8/2023)
RR
Kansas(11/8/2023)
RR
Kentucky(11/8/2023)
RR
Louisiana(11/8/2023)
RR
Maine(11/8/2023)
RR
Maryland(11/8/2023)
RR
Massachusetts(11/8/2023)
RR
Michigan(11/8/2023)
RR
Minnesota(11/8/2023)
RR
Mississippi(11/8/2023)
RR
Missouri(11/8/2023)
RR
Montana(11/8/2023)
RR
Nebraska(11/8/2023)
RR
Nevada(11/8/2023)
RR
New Hampshire(11/8/2023)
RR
New Jersey(11/8/2023)
RR
New Mexico(11/8/2023)
RR
New York(11/8/2023)
RR
North Carolina(11/8/2023)
RR
North Dakota(11/8/2023)
RR
Ohio(11/8/2023)
RR
Oklahoma(11/8/2023)
RR
Oregon(11/8/2023)
RR
Pennsylvania(11/8/2023)
RR
Puerto Rico(11/8/2023)
RR
Rhode Island(11/8/2023)
RR
South Carolina(11/8/2023)
RR
South Dakota(11/8/2023)
RR
Tennessee(11/8/2023)
RR
Texas(11/8/2023)
RR
Utah(11/8/2023)
RR
Vermont(11/8/2023)
RR
Virginia(11/8/2023)
RR
Washington(9/29/2022)
IAR
Washington(12/19/2022)
RR
West Virginia(11/8/2023)
RR
Wisconsin(11/8/2023)
RR
Wyoming(11/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SATURNA CAPITAL CORPORATION
EMERALD CAPITAL CORPORATION | STERLING STOCK INVESTMENTS LLC | SATURNA CAPITAL CORPORATION
CRD#: 25586 / SEC#: 801-35428, 8-41998
RIA
Registered Investment Advisory firm - FINRA (10/30/1989 Approved)BD
Terminated by FINRA on 11/02/1990
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Contact information
Main Address
1300 N State St., Bellingham, WA 98225-4730
Mailing Address
Phone number
(360) 734-9900
Established
Washington since 07/25/1989
Firm type
Corporation
Fiscal year end
June
# of Employees
83
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 8,624,828,208 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 01/26/2024 | ||
| 10/27/2022 |
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.
