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James Gerard Kaiser

FMG Distributors, Inc.

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About James Gerard Kaiser

James Gerard Kaiser is a financial professional with over 35 years of experience in the industry. James is currently registered with FMG Distributors, Inc. and has held previous roles with Touchstone Securities, Inc., ARM Securities Corporation, Directed Services, Inc., Thomson McKinnon Securities Inc., Dean Witter Reynolds Inc., Smith Barney, Harris Upham & Co., Incorporated, and Sallis Securities Co. James holds several licenses and certifications, including Series 7, 24, 63, 65, 99TO and SIE. James has a strong track record of providing financial advice to clients in Connecticut, Florida, New Jersey and Texas.

Firm Information

James Kaiser is currently registered with FMG Distributors, Inc.. FMG Distributors, Inc. is a Corporation formed on September 19, 1991. They are registered in Connecticut, Florida, New Jersey, and Texas, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

3

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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James Kaiser’s Registration & Firm History

CT

12/05/1991 - Present

FMG Distributors, Inc. (New Canaan CT)

CT

05/12/2000 - 09/05/2007

TOUCHSTONE SECURITIES, INC. (STAMFORD CT)

ND

07/28/1999 - 04/11/2000

ARM SECURITIES CORPORATION (MINOT ND)

PA

08/17/1988 - 03/22/1990

DIRECTED SERVICES, INC. (WEST CHESTER PA)

NA

05/27/1986 - 03/15/1988

THOMSON MCKINNON SECURITIES INC.

NA

10/04/1984 - 06/30/1986

DEAN WITTER REYNOLDS INC.

NA

12/07/1985 - 06/06/1986

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

NA

01/09/1984 - 12/18/1984

SALLIS SECURITIES CO.

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Licenses & Designations

IA

Issued 01/14/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/15/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 06/27/1983

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Gerard Kaiser. Review regulatory record here.
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