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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew John Kaiser is a financial advisor associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Matthew John Kaiser has been in the industry since July 2003. Matthew John Kaiser has passed the Series 63, Series 66, Series 7 and Series 31 exams and is registered in 38 states including Arizona, California, and Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Matthew John Kaiser was also registered with Bear, Stearns & Co. Inc. and Salomon Smith Barney Inc.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
10/27/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHORT HILLS NJ)
NY
09/28/2001 - 11/07/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/15/1998 - 05/19/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/15/1998 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BOTH
Issued 10/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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