Robert E. Kaufman
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.
Robert Edward Kaufman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2014 - December 22, 2017
RAYMOND JAMES & ASSOCIATES, INC.
March 28, 2008 - December 22, 2017
RAYMOND JAMES & ASSOCIATES, INC.
August 12, 2006 - April 14, 2008
UBS FINANCIAL SERVICES INC.
August 12, 2006 - April 14, 2008
UBS FINANCIAL SERVICES INC.
July 10, 2003 - August 12, 2006
PIPER SANDLER & CO.
February 11, 2000 - August 12, 2006
PIPER SANDLER & CO.
July 11, 1991 - March 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1990 - July 23, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
June 23, 1989 - January 6, 1990
DAIN RAUSCHER INCORPORATED
April 25, 1986 - July 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 2, 1985 - March 20, 1986
IRI SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
