Saul R. Greene

KAIZEN FINANCIAL STRATEGIES

CAMPBELL, CA 95008

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CRD#: 4453934

Professional summary

Saul Richard Greene, who also goes by Rick Greene, Saul Greene, is a registered financial advisor currently at KAIZEN FINANCIAL STRATEGIES, LLC located in Campbell, California.

Saul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Saul has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Greene | Saul Greene

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.

Insurance; investment-related; Milpitas, CA; insurance agent; 03/2023

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Saul Richard Greene's CRS (Customer Relationship Summary).

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

November 2, 2018 - Present

KAIZEN FINANCIAL STRATEGIES, LLC

Office #1: 2105 South Bascom Ave, Suite 295, Campbell, CA 95008

RIA

CRD#: 298248

CAMPBELL, CA

Past

May 13, 2009 - November 12, 2018

WADDELL & REED

RIA

CRD#: 866

CAMPBELL, CA

Past

May 13, 2009 - November 12, 2018

WADDELL & REED

CRD#: 866

CAMPBELL, CA

Past

October 16, 2001 - April 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CAMPBELL, CA

Past

September 26, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 26, 2001 - April 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CAMPBELL, CA

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".

KAIZEN FINANCIAL STRATEGIES, LLC

KAIZEN FINANCIAL STRATEGIES, LLC | KAIZEN WEALTH ADVISORS, LLC

CRD#: 298248 / SEC#: 801-114234

RIA

Registered Investment Advisory firm - (11/2/2018 Approved)

Texas

Registered Investment Advisory firm - (6/27/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(11/2/2018)

IAR

Texas
(11/2/2018)

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

IAR

Series 66

Date: 10/12/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2001

General Securities Representative Examination

Current Firm

KAIZEN FINANCIAL STRATEGIES, LLC

KAIZEN FINANCIAL STRATEGIES, LLC | KAIZEN WEALTH ADVISORS, LLC

CRD#: 298248 / SEC#: 801-114234

RIA

Registered Investment Advisory firm - (11/2/2018 Approved)

Texas

Registered Investment Advisory firm - (6/27/2019 Terminated)

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Contact information

Main Address

2105 South Bascom Ave Suite 295, Campbell, CA 95008

Mailing Address

Phone number

(408) 819-9010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/24/2025)

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	715
AUM (Assets Under Management)	$ 234,439,946

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.

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Advisor Monitoring

Firm Stability Insights

Saul R. Greene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Saul Richard Greene's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KAIZEN FINANCIAL STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2001

Current Firm

KAIZEN FINANCIAL STRATEGIES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAIZEN FINANCIAL STRATEGIES, LLC

TRUST BUT VERIFY

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