James Kaiser, financial advisor Monrovia IN
93 score

James Kaiser

CRD Number: 4442855
Current Firm: Sagepoint Financial, Inc.

James Kaiser (CRD# 4442855) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Monrovia, IN and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Sagepoint Financial, Inc. Phoenix, AZ Jan 2009 - Current 7
Aig American General Life Insurance Company Monrovia, IN Oct 2002 - Current 14
Monroe Township Advisory Board Monrovia, IN Jan 1991 - Current 25
Avon Community Schools Avon, IN Aug 1991 - Jun 2010 18
Aig Financial Advisors, Inc. Monrovia, IN Oct 2008 - Jan 2009 < 1
American General Securities Incorporated Monrovia, IN Oct 2002 - Oct 2008 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2001
S65 NASAA Investment Advisors Law Examination Mar 2006
Contact Info for James M. Kaiser
Phone Number: 1-800-552-3319 EXT 2606
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    4,385
    MILLIONS
  • Total Number of Accounts
    23,011
    ACCOUNTS
  • Average Account Value
    $190,540
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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