What We Do
Kaiser and Company is a public finance firm and independent broker dealer servicing registered representatives and clients throughout the United States.
What is a Broker Dealer?
A broker dealer is an entity that acts as an intermediary between registered representatives and investment companies so that clients are able to utilize a regulated system in which to buy and sell securities. Broker dealers provide supervisory jurisdiction over registered representatives and the products and services they provide to their clients. Investment companies typically establish relationships with broker dealers in order to have a regulated means by which to offer their products and services. Registered representatives may only be affiliated with one broker dealer whereas broker dealers may be affiliated with several investment companies. In fact, clients may benefit if their representative is affiliated with a broker dealer who has affiliations with several investment companies. This provides representatives with a variety of investment choices when determining the most suitable investments for clients. As important as that is, it is equally important for broker dealers to perform due diligence on each investment company before signing selling agreements.
As a broker dealer, Kaiser and Company is committed to following securities laws and making sure that our representatives are properly licensed and demonstrate responsibility and ethics with regard to each client’s financial future. Kaiser and Company has relationships with investment professionals who uphold our firm’s name and reputation by representing us in the most respectable manner possible.
What is an Investment Banking Firm?
Investment banking firms help companies and government agencies raise money by issuing and selling securities in the debt market. Facilitating these transactions is referred to as underwriting.
As a public finance firm, Kaiser and Company specializes in public finance consulting and municipal bond underwriting to Wyoming schools, counties, municipalities, special districts, and institutions. Since 1980, Kaiser and Company has provided bond underwriting services on over 620 Wyoming bond issues totaling over $5,586,813,000.
