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Carol Ann Kaiser

Empower Financial Services, Inc.

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About Carol Ann Kaiser

Carol Ann Kaiser is a financial advisor at Empower Financial Services, Inc. in Topeka, Kansas. Carol Kaiser has been in the financial services industry since June 4, 2001. Carol Kaiser is registered with FINRA as a General Securities Representative and Investment Company Products/Variable Contracts Representative and holds the Series 7, Series 6, Series 24, Series 63 and SIE licenses. Carol Kaiser is also registered in Wisconsin. Prior to joining Empower Financial Services, Inc., Carol Kaiser was employed by PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC in Dubuque, Iowa and PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC. in HARTFORD, Connecticut.

Firm Information

Carol Kaiser is currently registered with Empower Financial Services, Inc.. Empower Financial Services, Inc. is a Corporation formed in 1984-10-12. It is registered in 53 states and has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

1,120

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carol Kaiser’s Registration & Firm History

KS

04/04/2022 - Present

Empower Financial Services, Inc. (Topeka KS)

IA

12/06/2004 - 04/04/2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (Dubuque IA)

CT

06/04/2001 - 12/06/2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC. (HARTFORD CT)

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Licenses & Designations

IA

Issued 11/06/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/22/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/06/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/27/2002

Series 7 - General Securities Representative Examination

BC

Issued 06/01/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Ann Kaiser.
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