Individual Firm
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CRAIG MITCHELL KAISER
CRD#: 5347848
IA
B
MORGAN STANLEYCRD#: 149777 5796 Armada Drive
Suite 200
Carlsbad, CA 92008
Suite 200
Carlsbad, CA 92008
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Alabama 5/7/2024
B
Montana 2/4/2025
B
Arizona 6/1/2009
B
Nebraska 3/19/2020
B
California 6/1/2009
B
Nevada 8/11/2023
IA
California 6/1/2009
B
New Jersey 5/13/2014
B
Colorado 2/27/2023
B
New York 1/10/2019
B
Connecticut 1/13/2012
B
North Carolina 7/26/2021
B
Florida 11/19/2009
B
Oregon 4/23/2014
B
Georgia 9/27/2012
B
Pennsylvania 11/13/2024
B
Idaho 2/4/2020
B
South Carolina 6/21/2018
B
Illinois 6/1/2009
B
Tennessee 6/22/2021
B
Indiana 4/8/2010
B
Texas 6/1/2009
B
Kansas 7/29/2019
IA
Texas 3/19/2020
B
Maryland 10/15/2020
B
Utah 11/10/2021
B
Michigan 9/21/2021
B
Virginia 9/24/2021
B
Minnesota 6/14/2017
B
Washington 3/5/2024
B
Missouri 1/9/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/26/2007 - 06/01/2009 | RANCHO SANTA FE, CA | |
B | 11/12/2007 - 06/01/2009 | RANCHO SANTA FE, CA | |
B | 06/13/2007 - 10/29/2007 | HUSTON, TX |
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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.
IA
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.