David Jay Kaufman
CFP®, ChFC®Professional Summary
David Jay Kaufman, CFP®, ChFC®, who also goes by David Kaufman, is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Boston, Massachusetts and LPL FINANCIAL LLC located in Miami, Florida. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Investment Planning
- Insurance Planning
- Comprehensive Financial Planning
- Tax Planning
- Estate Planning
Other Aliases
David Kaufman
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
40 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
Contact Information
Main Address
346 Commercial Street, Boston, MA 02109Phone Number
(857) 350-4229# of Employees
61SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
12,815AUM (Assets Under Management)
$3,419,401,101Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
State Registrations and Notice Filings
(8/17/2012)
(9/12/2014)
(12/17/2010)
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(2/19/2019)
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(10/18/2018)
(12/17/2010)
(8/17/2012)
(1/24/2011)
(12/17/2010)
(8/24/2015)
(12/17/2010)
(9/29/2015)
(6/18/2015)
(4/22/2016)
(1/11/2011)
(12/17/2010)
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(6/18/2015)
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(9/29/2016)
(4/29/2015)
(10/25/2011)
(12/17/2010)
(2/14/2013)
(11/5/2014)
(12/17/2010)
(12/17/2010)
(4/14/2022)
(12/17/2010)
(1/27/2014)
(12/17/2010)
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(5/1/2015)
(12/17/2010)
(1/24/2011)
(6/11/2019)
(2/24/2014)
(12/17/2010)
(1/24/2011)
(1/11/2011)
(6/11/2019)
(12/17/2010)
(7/26/2011)
(11/16/2018)
(12/17/2010)
(6/13/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1986About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Jay Kaufman's CRS (Customer Relationship Summary).
Services Offered by David
- Retirement Planning
- Investment Planning
- Insurance Planning
- Comprehensive Financial Planning
- Tax Planning
- Estate Planning
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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