DK
David J. Kaufman
FLAGSHIP HARBOR ADVISORS
MIAMI, FL
Some features on this profile are disabled
CRD#: 1526940
DK
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 Miami, Florida and LPL FINANCIAL LLC located in Boston, Massachusetts.
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 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Tax Planning
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
David Kaufman
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) 342-346 Commercial Street LLC - Investment Related - Boston, MA - Real Estate Holding Company - Owner - 12/10/2010 - Approx 1 hr/month - Approx. 0 hrs/month during securities trading hrs - This is strictly an LLC formed for the ownership and management of the office condo which was purchased with another individual.
(2) No business name - Investment Related - Boston, MA - Non-variable insurance sales - Agent - 01/06/2011 - Approx 15 hrs/month - Approx 15 hrs/month during trading hrs - fixed insurance and fix annuities sales.
(3) No business Name - Investment Related - Boston, MA - FINRA Arbitrator - 01/01/2001 - Approx 1 hr/month - Approx 1 hr/month during trading hrs - FINRA Abitrator.
(4) LPL Financial LLC - Investment Related - Boston, MA - Broker-Dealer - Registered Representative - 12/17/2010 - Approx 15 hrs/month - Approx 15 hrs/month during trading hrs - Sale of securities products.
CRS (Client Relationship Summary) - RIA
Click below to view David Jay Kaufman's 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®
Start date: 1994
Experience
Current
December 17, 2010 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #2: 346 Commercial Street, Boston, MA 02109RIA
CRD#: 155733
MIAMI, FL
Current
December 17, 2010 - Present
LPL FINANCIAL LLC
Office #1: 346 Commercial St, Boston, MA 02109RIA
BD
CRD#: 6413
BOSTON, MA
Past
February 19, 2019 - March 21, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
BOSTON, MA
Past
October 3, 2006 - December 20, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BOSTON, MA
Past
March 4, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 2, 1986 - December 20, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BOSTON, MA
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
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
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)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.RR
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
RR
Alabama(8/17/2012)
RR
Alaska(9/12/2014)
RR
Arizona(12/17/2010)
RR
Arkansas(12/17/2010)
RR
California(12/17/2010)
RR
Colorado(12/17/2010)
RR
Connecticut(12/17/2010)
RR
Delaware(2/19/2019)
RR
District of Columbia(12/17/2010)
RR
Florida(12/17/2010)
IAR
Florida(10/18/2018)
RR
Georgia(12/17/2010)
RR
Hawaii(8/17/2012)
RR
Idaho(1/24/2011)
RR
Illinois(12/17/2010)
RR
Indiana(8/24/2015)
RR
Iowa(12/17/2010)
RR
Kansas(9/29/2015)
RR
Kentucky(6/18/2015)
RR
Louisiana(4/22/2016)
RR
Maine(1/11/2011)
RR
Maryland(12/17/2010)
RR
Massachusetts(12/17/2010)
IAR
Massachusetts(12/17/2010)
RR
Michigan(12/17/2010)
RR
Minnesota(12/17/2010)
RR
Mississippi(6/18/2015)
RR
Missouri(12/17/2010)
RR
Montana(9/29/2016)
RR
Nebraska(4/29/2015)
RR
Nevada(10/25/2011)
RR
New Hampshire(12/17/2010)
RR
New Jersey(2/14/2013)
RR
New Mexico(11/5/2014)
RR
New York(12/17/2010)
RR
North Carolina(12/17/2010)
RR
North Dakota(4/14/2022)
RR
Ohio(12/17/2010)
RR
Oklahoma(1/27/2014)
RR
Oregon(12/17/2010)
RR
Pennsylvania(12/17/2010)
RR
Puerto Rico(5/1/2015)
RR
Rhode Island(12/17/2010)
RR
South Carolina(1/24/2011)
RR
South Dakota(6/11/2019)
RR
Tennessee(2/24/2014)
RR
Texas(12/17/2010)
RR
Utah(1/24/2011)
RR
Vermont(1/11/2011)
RR
Virgin Islands(6/11/2019)
RR
Virginia(12/17/2010)
RR
Washington(7/26/2011)
RR
West Virginia(11/16/2018)
RR
Wisconsin(12/17/2010)
RR
Wyoming(6/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
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
CRD#: 155733 / SEC#: 801-71997
RIA
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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.
