Richard A. Kauffmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Alan Kauffmann was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1983. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - December 31, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - December 31, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 15, 1995 - May 13, 1998
A. G. EDWARDS & SONS, INC.
October 13, 1993 - May 30, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1990 - August 7, 1990
NORTH AMERICAN MANAGEMENT, INC.
April 28, 1988 - October 7, 1989
OSAIC FS, INC.
March 8, 1983 - May 3, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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