Brian D. 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.
Brian David Kaufman, who also goes by Brian Kaufman, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
June 23, 2009 - April 18, 2024
SECUREVEST FINANCIAL GROUP
September 1, 2006 - June 25, 2007
NORTH AMERICAN CAPITAL MARKETS, LLC
May 16, 2002 - January 11, 2006
MILESTONE ADVISORS LLC
May 1, 1997 - November 14, 2001
KEEFE, BRUYETTE & WOODS, INC.
April 6, 1990 - December 23, 1996
SANDLER, O'NEILL & PARTNERS, L.P.
May 21, 1986 - March 20, 1990
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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