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Nicholas Kaiser

Simplicity Wealth

Phoenix, AZ

Summit, NJ

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Current Employers
Simplicity Wealth

475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-08-04
  • AZ RA
    APPROVED
    Since 2023-08-04

Branch Locations

2929 N Central Ave Suite 1400, Phoenix, AZ 85012 • United States

475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thomas Hubbard Phoenix AZ 08/2013 12/2018
Northwestern Mutual Investment Services, Llc Phoenix AZ 08/2013 12/2018
Northwestern Mutual Phoenix AZ 01/2013 01/2019
Foundations Investment Advisors Phoenix AZ 01/2019 05/2023
Simplicity Group Phoenix AZ 05/2023 Present
Simplicity Wealth Summit NJ 06/2023 Present
  • 08/2013 → 12/2018
    Thomas Hubbard
    Phoenix, AZ
  • 08/2013 → 12/2018
    Northwestern Mutual Investment Services, Llc
    Phoenix, AZ
  • 01/2013 → 01/2019
    Northwestern Mutual
    Phoenix, AZ
  • 01/2019 → 05/2023
    Foundations Investment Advisors
    Phoenix, AZ
  • 05/2023 → Present
    Simplicity Group
    Phoenix, AZ
  • 06/2023 → Present
    Simplicity Wealth
    Summit, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-27
S63 Uniform Securities Agent State Law Examination 2007-08-24
  • S66 Uniform Combined State Law Examination
    2013-09-27
  • S63 Uniform Securities Agent State Law Examination
    2007-08-24
Designations
Other Names
  • Nick Lou Kaiser
  • Nicholas Lou Kaiser

View on SEC IAPD

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