Our Qualifications

About Bob Kaye, CFS®, CLU® Financial Advisor


Among the designations, credits and training Bob Kaye has achieved.

Series 7

General Securities Registered Representative

The Series 7 qualifies an individual as a general securities representative to trade equities, debt securities, mutual funds, options, and other financial products.

Series 6

Investment Company/Variable Contracts Limited Representative

The Series 6 qualifies individuals to trade mutual funds, unit investment trusts, variable products and primary offerings of closed-end company shares.

Series 63

Uniform Securities Agent State Law

The Series 63 is required by most states to become registered as a Uniform Securities Agent with the North American Securities Administrators (NASAA). It qualifies an individual to trade securities.

Certified Fund Specialist

The CFS® program covers many aspects of investing as it applies to open-end mutual funds, closed-end funds, fixed and variable annuities, real estate investment trusts and unit investment trusts. The designation is the oldest designation in the mutual funds industry. Candidates must complete a one year course and pass a comprehensive exam.

Chartered Life Underwriter

The CLU® designation is one of the oldest and most respected credentials in financial services, dating back to the late 1920’s. It represents a thorough understanding of a broad array of personal risk management and life insurance planning issues and stresses ethics, professionalism, and in-depth knowledge in the delivery of financial advice.

Life Insurance Licensed

Qualified to work with all forms of life insurance: whole life, universal, variable and term for the purposes of ensuring family security and including all business uses specifically for business continuation including purchase and sale agreements, estate planning including applicable trusts.

Continuing Education

Over 100 hours per year of various forms of continuing education in all areas of above including all aspects of business planning, retirement planning and tax strategies through advanced financial seminars and through the American College.

Association Membership

Member of The Premier Association of Financial Professionals® and the Association of Independent Financial Advisors


Affiliated with Securities America, Inc., one of the nation’s largest and most successful independent general securities broker/dealers. Securities America, Inc. is a member of the National Association of Securities Dealers (FINRA) and the Securities Investors Protection Corporation (SIPC).