Mitchell E. Kauffman

STIFEL INDEPENDENT ADVISORS

Pasadena, CA 91105

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CRD#: 1064603

Professional summary

Mitchell Elliott Kauffman, CFP® is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Pasadena, California.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mitchell has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Periwinkle Lane Assoc; 550 Periwinkle Lane, Montecito, CA 93108; Non Profit Homeowners Assoc; Treasurer; 1/1/23; 2 hr/mo; Not During Securities Trading Hours; Not Investment Related. University of California, Santa Barbara; UC Santa Barbara Santa Barbara, CA 93106-2014; Education- University; Adjunct faculty; Adjunct faculty teaching 2-3 economics courses per quarter; 01/01/2016; 10 Hours per Week; During Securities Trading Hours; Not Investment Related. Kauffman Wealth Management 401k/PSP; 550 Periwinkle Ln, Montecito, CA 931018; 401k Plan for Kauffman Wealth Mgmt Inc 401k; Trustee; 01/01/2002; 3 Hours per Year; Not during securities trading hours; Investment-Related. Kauffman Wealth Management; 550 Periwinkle Ln, Montecito, CA 931018; Commercial Rental Property; Landlord; 01/01/2009; 1 Hour per Year; Not during securities trading hours; Investment-Related. KAUFFMAN WEALTH MANAGEMENT INC; 550 PERIWINKLE LN MONTECITO CA 93108; BOOKKEEPING ENTITY; OWNER; 1/1/0; , 3 HRS/WEEK, DURING SECURITIES TRADING HOURS; INV RELATED JOANNE MORAN PH.D. PSY.D; 550 PERIWINKLE LN MONTECITO CA 93108; CLINICAL PSYCHOLOGIST; 100% OWNERSHIP BY SPOUSE/BOOKKEEPER; 1/1/2008; 1 HOURS PER MONTH, NOT DURING SECURITIES TRADING HOURS; NOT INV RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Elliott Kauffman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Elliott Kauffman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

April 19, 2022 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 975 S. Fair Oaks Avenue, Pasadena, CA 91105

RIA

CRD#: 28218

Pasadena, CA

Current

April 19, 2022 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 975 S. Fair Oaks Avenue, Pasadena, CA 91105

RIA

CRD#: 28218

Pasadena, CA

Past

January 15, 2016 - April 20, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

PASADENA, CA

Past

January 15, 2016 - April 20, 2022

CRD#: 6694

PASADENA, CA

Past

February 5, 1985 - December 21, 1988

AMERICAN PACIFIC SECURITIES CORPORATION

CRD#: 5003

Past

September 2, 1982 - February 3, 1986

EQUITEC SECURITIES COMPANY

CRD#: 6463

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(4/27/2022)

Alaska
(4/25/2022)

Arizona
(4/19/2022)

California
(4/19/2022)

IAR

California
(4/19/2022)

Colorado
(4/19/2022)

Connecticut
(4/19/2022)

District of Columbia
(4/19/2022)

Florida
(4/19/2022)

Georgia
(4/19/2022)

Hawaii
(4/20/2022)

Idaho
(4/19/2022)

Illinois
(4/20/2022)

Indiana
(4/19/2022)

Kentucky
(4/19/2022)

Louisiana
(4/19/2022)

Maryland
(4/19/2022)

Michigan
(4/19/2022)

Minnesota
(4/19/2022)

Missouri
(4/19/2022)

Montana
(4/19/2022)

Nebraska
(4/19/2022)

Nevada
(4/19/2022)

New Hampshire
(4/22/2022)

New Jersey
(4/19/2022)

New Mexico
(4/19/2022)

New York
(4/19/2022)

North Carolina
(4/19/2022)

Oregon
(5/11/2022)

Pennsylvania
(4/19/2022)

Tennessee
(4/19/2022)

Texas
(4/19/2022)

IAR

Texas
(4/19/2022)

Utah
(4/19/2022)

Virginia
(4/19/2022)

Washington
(4/19/2022)

West Virginia
(3/25/2025)

Wyoming
(4/19/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/21/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One Financial Plaza 501 North Broadway, St Louis, MO 63102

Mailing Address

One Financial Plaza 501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-4051

Established

Missouri since 05/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

206

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)

FINANCIAL PLANNING (3/31/2025)

WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMES	CHAIRMAN, STIFEL FINANCIAL	1434827
BRAUTIGAM, ALLEN COR	PRESIDENT AND CEO	2400179
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER	4696103
DODSON, CHARLES EDWARD	CCO-ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL	4970942
MELINGER, ADAM SCOTT	ROSFP	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
ROWAN, JAMES FRANCIS	PRINCIPAL FINANCIAL OFFICER	1976998
ZEMLYAK, JAMES MARK	MANAGER, BOARD OF MANAGERS	1586132

Regulatory assets under management

Total Number of Accounts	11,648
AUM (Assets Under Management)	$ 4,379,138,273

Disclosures

Regulatory Event	3
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mitchell E. Kauffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Elliott Kauffman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Elliott Kauffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

KAUFFMAN WEALTH MANAGEMENT

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

KAUFFMAN WEALTH MANAGEMENT

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERICAN PACIFIC SECURITIES CORPORATION

EQUITEC SECURITIES COMPANY

Primary Firm SEC Registration

STIFEL INDEPENDENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 6/11/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1982

Series 51

Date: 6/21/2004

Series 24

Date: 7/9/1987

FINRA

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL INDEPENDENT ADVISORS, LLC

TRUST BUT VERIFY

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