Steven W. 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.
Steven Warren Kaufman, who also goes by Steven W Kaufman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 23 firms and has passed the Series 63, SIE and Series 7 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, 2020 - February 19, 2020
SW FINANCIAL
January 10, 2017 - June 27, 2019
WORDEN CAPITAL MANAGEMENT LLC
August 8, 2016 - January 11, 2017
ARIVE CAPITAL MARKETS
December 11, 2014 - August 2, 2016
K.C. WARD FINANCIAL
June 6, 2014 - December 18, 2014
SECURITIES AMERICA, INC.
May 17, 2013 - July 1, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
August 1, 2012 - May 16, 2013
GLOBAL ARENA CAPITAL CORP
February 23, 2010 - August 2, 2012
PHD CAPITAL
November 5, 2008 - February 18, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
January 22, 2008 - November 21, 2008
AMERICA'S CHOICE EQUITIES LLC
September 25, 2007 - January 28, 2008
J.P. TURNER & COMPANY, L.L.C.
October 17, 2006 - September 24, 2007
BROOKVILLE CAPITAL PARTNERS
August 30, 2006 - October 16, 2006
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
June 16, 2006 - August 3, 2006
J.W. COLE FINANCIAL, INC.
September 21, 2004 - June 20, 2006
J.P. TURNER & COMPANY, L.L.C.
January 14, 2004 - September 7, 2004
NEWBRIDGE SECURITIES CORPORATION
March 18, 2003 - January 2, 2004
GUNNALLEN FINANCIAL, INC
September 18, 2002 - March 18, 2003
BASIC INVESTORS INC.
February 20, 2002 - September 18, 2002
MILESTONE FINANCIAL SERVICES, INC.
April 9, 2001 - March 20, 2002
BISHOP, ROSEN & CO., INC.
July 8, 1999 - April 17, 2001
JOSEPHTHAL & CO., INC.
February 17, 1998 - July 12, 1999
GLENN MICHAEL FINANCIAL, INC.
December 2, 1996 - February 20, 1998
CONTINENTAL BROKER-DEALER CORP.
June 6, 1994 - September 15, 1994
MONTANO SECURITIES CORPORATION
December 23, 1986 - March 20, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
