Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Kaiser is a registered representative of Stifel, Nicolaus & Company, Inc. with over 19 years of experience in the financial industry. Dorothy Kaiser has passed the Series 7, Series 66, and SIE exams. Dorothy Kaiser's current registrations include New York and Texas. Dorothy Kaiser is also a notary public in the state of New York. Dorothy Kaiser has been associated with Stifel, Nicolaus & Company, Inc. since December 2017. Prior to that, Dorothy Kaiser was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Dorothy Kaiser has a strong history of working with a wide range of clients, including individuals, families, businesses, and institutions. Dorothy Kaiser provides a variety of financial services, including investment management, financial planning, and retirement planning.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
03/26/2020 - Present
Stifel, Nicolaus & Company, Inc. (POUGHKEEPSIE NY)
NY
11/20/2003 - 12/21/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (POUGHKEEPSIE NY)
BOTH
Issued 03/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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