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RK

Ryan Kaiser

Some features on this profile are disabled
CRD#: 5618875
RK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ryan Kaiser, who also goes by Ryan Cole Sarjeant Kaiser, Ryan Cole-sarjeant Kaiser, Ryan C. Kaiser, Ryan Kaiser, was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2009. Ryan had worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan Cole Sarjeant Kaiser | Ryan Cole-Sarjeant Kaiser | Ryan C. Kaiser | Ryan 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2025 - May 13, 2026

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

March 5, 2025 - July 24, 2025

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

August 31, 2022 - December 19, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Fort Lauderdale, FL
Past

October 28, 2021 - June 27, 2022

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
BOCA RATON, FL
Past

October 22, 2021 - July 12, 2022

POLEN CAPITAL MANAGEMENT, LLC

RIA
CRD#: 106093
BOCA RATON, FL
Past

May 25, 2021 - August 26, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DALLAS, TX
Past

December 7, 2020 - August 26, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX
Past

September 6, 2018 - November 30, 2020

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

December 10, 2014 - June 4, 2018

TRUIST SECURITIES, INC.

BD
CRD#: 6271
DALLAS, TX
Past

August 6, 2013 - December 12, 2014

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
DALLAS, TX
Past

March 22, 2010 - July 23, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX
Past

July 14, 2009 - January 19, 2010

MPG FINANCIAL, LLC

BD
CRD#: 146670
RICHARDSON, TX
Past

March 5, 2009 - May 20, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
PLANO, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/14/2012
Registered Options Principal Examination

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
ALVAREZ, KAREN LOUFINANCIAL OPERATIONS4044938
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316

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