Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lee Kaiser is a financial advisor registered with Osaic Wealth, Inc. David has been in the financial services industry since 1981. David is registered with the state regulators of Florida, North Carolina, South Carolina and Virginia. David has a Series 63, 65, 7, 31 and SIE licenses. In addition, David has passed the Series 8, 9 and 10 exams, and has held licenses with several other firms in the past.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MD
10/11/2024 - Present
Osaic Wealth, Inc. (Frederick MD)
VA
12/09/2011 - 09/10/2012
STERNE, AGEE & LEACH, INC. (RICHMOND VA)
VA
11/02/2010 - 12/09/2011
ANDERSON & STRUDWICK, INCORPORATED (RICHMOND VA)
VA
03/13/2009 - 11/12/2010
RBC CAPITAL MARKETS, LLC (RICHMOND VA)
VA
02/17/2006 - 03/13/2009
FERRIS, BAKER WATTS, LLC (RICHMOND VA)
VA
05/05/1999 - 03/07/2006
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
VA
10/10/1988 - 05/05/1999
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
NA
10/08/1982 - 10/19/1988
BRANCH, CABELL & COMPANY
NA
01/19/1981 - 07/30/1982
BRANCH, CABELL & COMPANY
IA
Issued 01/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/05/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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