Douglas F. Kaiser
Geen lopende functies
Profiel
A highly credentialed financial services professional, Mr. Kaiser began his career in 1988 as a retail broker for a small regional firm in White Plains, New York.
This boutique experience coupled with exemplary supervisory, compliance and operational skills proved invaluable when Mr. Kaiser went on to become a Founding Partner of Joseph Charles & Associates in 1991.
As a principal in the organization, Mr. Kaiser excelled in the areas of Trading Operations, as well as Market Making; during the latter stages of his career here, his successes also included appointment as Head of Sales.
Mr. Kaiser’s significant contributions helped grow the firm to 14 offices and more than 300 employees.
In 2000, after the sale of assets of Joseph Charles and Associates, Mr. Kaiser focused on establishing a retail division for another significant regional B/D in Florida.
His career success led him to the post of Managing Partner of Dawson James Securities in 2005.
A full service investment banking firm with specialties in healthcare, biotechnology, technology and the clean-tech sectors, he continued to excel in the areas of recruiting, operations, and supervision of the firm’s Institutional and Retail Trading department.
In 2010, Mr. Kaiser joined West Park Capital as Managing Director, Brokerage and Sales, where his proven experience will be instrumental in growing the firm’s retail brokerage presence while simultaneously focused on expanding the organizations distribution channels.
Mr. Kaiser graduated from Lawrence University, in Appleton, Wisconsin, with a Bachelor of Arts in Economics.
He also holds FINRA series licenses 4, 7, 24, 28, 53, and 55.
Eerdere bekende functies van Douglas F. Kaiser
Bedrijven | Functie | Einde |
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Dawson James Securities, Inc.
Dawson James Securities, Inc. Investment Banks/BrokersFinance Dawson James Securities, Inc. (Dawson James) is a full service investment firm and registered broker-dealer headquartered in Boca Raton, Florida. The firm was founded in 2002 and is a subsidiary of Ark Financial Services, Inc. Dawson James offers research, institutional & retail sales, and execution trading & corporate services to institutional money managers, mutual funds, registered investment advisors, corporations and insurance companies. | Corporate Officer/Principal | - |
WestPark Capital, Inc. (Securities)
WestPark Capital, Inc. (Securities) Investment Banks/BrokersFinance WestPark Capital, Inc. (Securities) (WPC-Broker) is the securities brokerage division of WestPark Capital, Inc., a full-service investment banking firm headquartered in Los Angeles, California. The firm was founded in 1999 and is principally owned by Westpark Capital Group LLC. WPC-Broker provides a full array of trading and execution services to serve the needs of both private and public companies worldwide, as well as individual and institutional investors. | Institutionele Verkopen | - |
Joseph Charles & Associates, Inc. | Corporate Officer/Principal | - |
Lawrence University | Verkoop & Marketing | - |
Ervaring
Beklede functies
Actief
Inactief
Beursgenoteerde bedrijven
Bedrijven in privébezit
Verwante bedrijven
Bedrijven in privébezit | 3 |
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WestPark Capital, Inc. (Securities)
WestPark Capital, Inc. (Securities) Investment Banks/BrokersFinance WestPark Capital, Inc. (Securities) (WPC-Broker) is the securities brokerage division of WestPark Capital, Inc., a full-service investment banking firm headquartered in Los Angeles, California. The firm was founded in 1999 and is principally owned by Westpark Capital Group LLC. WPC-Broker provides a full array of trading and execution services to serve the needs of both private and public companies worldwide, as well as individual and institutional investors. | Finance |
Joseph Charles & Associates, Inc. | Finance |
Dawson James Securities, Inc.
Dawson James Securities, Inc. Investment Banks/BrokersFinance Dawson James Securities, Inc. (Dawson James) is a full service investment firm and registered broker-dealer headquartered in Boca Raton, Florida. The firm was founded in 2002 and is a subsidiary of Ark Financial Services, Inc. Dawson James offers research, institutional & retail sales, and execution trading & corporate services to institutional money managers, mutual funds, registered investment advisors, corporations and insurance companies. | Finance |