AdFi
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David Andrew Kaiser

Investment Adviser Representative at ROBOTTI & COMPANY ADVISORS, LLC

Enfield, CTCRD #4966564Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
5 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
ConnecticutFloridaNew JerseyNew YorkTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/18/2014
Series 63
Uniform Securities Agent State Law Examination
Passed 5/7/2008
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 86
Research Analyst Exam - Part I Analysis Module
Passed 4/7/2009
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 12/2/2008
Series 7
General Securities Representative Examination
Passed 1/7/2008

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0-$2,499,9992.00%
$2.5M-$4,999,9991.75%
$5M-$9,999,9991.50%
$10M-$14,999,9991.25%
$15M-$24,999,9991.10%
$25M+1.00%
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ROBOTTI & COMPANY Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ROBOTTI SECURITIES, LLCCurrent
1/8/2008NEW YORK, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Andrew Kaiser has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Andrew Kaiser - Financial Advisor in Enfield, CT | AdvisorFinder