William KaiserCRD Number: 1374561
Current Firm: Nfp Advisor Services, LLC
William Kaiser (CRD# 1374561) is an Investment Advisor Representative working at Nfp Advisor Services, LLC in Kennett Square, PA and has over 31 years of experience in the finance industry. William Kaiser has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Clothier Springs Capital Management, LLC
Triad Advisors, Inc.
Sensenig Capital Advisors, Inc.
|Kestra Financial Services, Inc.||Austin, TX||Apr 2016 - Current||1|
|Nfp Securities Inc.||Kennett Square, PA||Aug 2006 - Apr 2016||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1986|
|S65||NASAA Investment Advisors Law Examination||Mar 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management12,254MILLIONS
Total Number of Accounts54,412ACCOUNTS
Average Account Value$225,208
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV