Arnold P. Kaufman

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CRD#: 1852303

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.

Arnold Paul Kaufman, who also goes by Arnie Kaufman, Arnold Kaufman, Arnold P. Kaufman, Arnold Paul Kaufman, was a registered financial professional .

Arnold is a previously registered financial professional and started their career in finance in 1988. Arnold had worked at 19 firms and has passed the Series 63, Series 99TO, SIE, Series 87, Series 86, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Arnie Kaufman | Arnold Kaufman | Arnold P. Kaufman | Arnold Paul 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 20, 2023 - December 19, 2023

TZERO SECURITIES, LLC

CRD#: 123421

JERSEY CITY, NJ

Past

September 20, 2023 - December 19, 2023

TZERO MARKETS

CRD#: 304537

JERSEY CITY, NJ

Past

March 9, 2022 - September 26, 2023

MOOMOO FINANCIAL INC.

CRD#: 283078

JERSEY CITY, NJ

Past

March 9, 2022 - September 26, 2023

FUTU CLEARING INC

CRD#: 298769

DALLAS, TX

Past

December 8, 2021 - February 17, 2022

BOURNE PARTNERS SECURITIES, LLC

CRD#: 131107

CHARLOTTE, NC

Past

April 7, 2020 - October 28, 2021

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

July 22, 2019 - October 28, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 22, 2019 - October 28, 2021

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

May 23, 2011 - December 14, 2018

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

July 7, 2010 - September 2, 2010

RAVEN SECURITIES CORP.

CRD#: 35201

NEW YORK, NY

Past

April 4, 2007 - April 7, 2010

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

November 1, 2005 - March 28, 2007

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

September 9, 2004 - March 14, 2006

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

October 28, 1999 - December 2, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 26, 1998 - September 20, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 15, 1996 - March 23, 1998

AROS SECURITIES INC.

CRD#: 39779

NEW YORK, NY

Past

February 15, 1995 - April 2, 1996

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

April 22, 1989 - March 25, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 22, 1989 - March 25, 1991

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 9, 1988 - May 2, 1989

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/24/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 11/17/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/26/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/7/1989

Financial and Operations Principal Examination

Current Firm

TZERO SECURITIES, LLC

PRO SECURITIES, L.L.C. | TZERO SECURITIES, LLC | TZERO ATS, LLC | SMART EXECUTION SECURITIES, LLC

CRD#: 123421 / SEC#: , 8-65585

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

525 Washington Blvd Suite 300, Jersey City, NJ 07310

Mailing Address

525 Washington Blvd Suite 300, Jersey City, NJ 07310

Phone number

(917) 359-9168

Established

Delaware since 08/21/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TZERO BROKER SERVICES, LLC	MEMBER
KNIGHT, JAMES ATWOOD JR	POO	6513288
KONEVSKY, ALAN PW	CHIEF LEGAL OFFICER	5972221
ONISHCHUK, OLGA	CCO	5435460
TAIONATO CLEMENTE, RENATA	FINOP & PFO	5875477
VLASTAKIS, ALEX	PRESIDENT	4141268

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Arnold P. Kaufman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TZERO MARKETS

MOOMOO FINANCIAL INC.

FUTU CLEARING INC

BOURNE PARTNERS SECURITIES, LLC

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOFA SECURITIES, INC.

SANTANDER INVESTMENT SECURITIES INC.

RAVEN SECURITIES CORP.

COWEN SECURITIES LLC

BREAN CAPITAL, LLC

BREAN MURRAY & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AROS SECURITIES INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

UNICREDIT CAPITAL MARKETS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 11/17/2004

Series 86

Date: 10/26/2004

Series 7

Date: 10/15/1988

Series 24

Date: 3/19/1996

Series 27

Date: 7/7/1989

Current Firm

TZERO SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TZERO SECURITIES, LLC

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