Inactive

Caroline Rose Kiser

Tgs Financial Advisors

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Current Employers

Tgs Financial Advisors

100 W. Matsonford Road Building 3, Suite 304, Radnor, PA 19087 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2025-05-27
TX	RA	APPROVED	2025-05-27

PA RA
APPROVED

Since 2025-05-27
TX RA
APPROVED

Since 2025-05-27

Branch Locations

100 W. Matsonford Road Building 3, Suite 304, Radnor, PA 19087 • 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

Organization	City	State	From	To
Tgs Financial Advisors	Radnor	PA	08/2024	Present
Upper Merion High School	King Of Prussia	PA	03/2024	06/2024
Upper Merion High School	King Of Prussia	PA	03/2023	06/2023
Upper Merion High School	King Of Prussia	PA	03/2022	06/2022
Katalyst Analytics	Ardmore	PA	05/2022	03/2024
Nordstrom	King Of Prussia	PA	09/2017	09/2020
Union College	Schenectady	NY	09/2017	06/2023
The Baldwin School	Bryn Mawr	PA	09/2014	06/2017
Delaware Community College	Media	PA	06/2023	08/2023

08/2024 → Present

Tgs Financial Advisors

Radnor, PA
03/2024 → 06/2024

Upper Merion High School

King Of Prussia, PA
03/2023 → 06/2023

Upper Merion High School

King Of Prussia, PA
03/2022 → 06/2022

Upper Merion High School

King Of Prussia, PA
05/2022 → 03/2024

Katalyst Analytics

Ardmore, PA
09/2017 → 09/2020

Nordstrom

King Of Prussia, PA
09/2017 → 06/2023

Union College

Schenectady, NY
09/2014 → 06/2017

The Baldwin School

Bryn Mawr, PA
06/2023 → 08/2023

Delaware Community College

Media, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-05-27

S65 Uniform Investment Adviser Law Examination

2025-05-27

View on SEC IAPD

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JAMES FRANCIS MARTIN

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