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DAVID FERDINAND KAISER
CRD#: 1377832
IA
B
THE AYCO COMPANY, L.P.CRD#: 106693 320 Headquarters Plaza East Tower
12th Floor
Morristown, NJ 07960
12th Floor
Morristown, NJ 07960
GOLDMAN SACHS & CO. LLCCRD#: 361 320 Headquarters Plaza East Tower
12th Floor
Morristown, NJ 07960
12th Floor
Morristown, NJ 07960
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Disclosures
39
Years of Experience
View By:
State Registrations
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Alabama 12/26/2024
B
Nevada 12/26/2024
B
Arizona 1/4/2021
B
New Hampshire 1/4/2021
B
Arkansas 4/1/2022
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New Jersey 7/30/2002
B
California 1/4/2021
B
New Jersey 1/4/2021
B
Colorado 1/4/2021
B
New Mexico 1/4/2021
B
Connecticut 1/4/2021
B
New York 1/4/2021
B
Delaware 1/4/2021
B
North Carolina 1/4/2021
B
District of Columbia 1/4/2021
B
Ohio 1/2/2025
B
Florida 1/6/2021
B
Oklahoma 12/26/2024
B
Georgia 4/1/2022
B
Oregon 1/4/2021
B
Hawaii 12/26/2024
B
Pennsylvania 1/4/2021
B
Idaho 12/26/2024
B
Puerto Rico 12/26/2024
B
Illinois 1/4/2021
B
Rhode Island 11/4/2024
B
Indiana 10/6/2023
B
South Carolina 1/4/2021
B
Kentucky 12/26/2024
B
Tennessee 1/4/2021
B
Louisiana 12/26/2024
B
Texas 1/4/2021
B
Maine 12/26/2024
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Texas 1/23/2022
B
Maryland 1/4/2021
B
Utah 12/26/2024
B
Massachusetts 1/4/2021
B
Vermont 4/1/2022
B
Michigan 12/26/2024
B
Virginia 1/4/2021
B
Minnesota 4/1/2022
B
Washington 1/4/2021
B
Missouri 12/26/2024
B
Wisconsin 10/30/2024
B
Montana 1/4/2021
SRO Registrations
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IA
Registered with this firm since 7/30/2002
B
Registered with this firm since 1/4/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/09/1994 - 01/04/2021 | PARSIPPANY, NJ | |
B | 09/24/1985 - 12/09/1994 | ALBANY, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.