Christine M. 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.
Christine Marie Kaufman, who also goes by Chris M Kaufman, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1989. Christine had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2018 - August 31, 2023
SIERRA PACIFIC SECURITIES, LLC
February 9, 1993 - June 15, 1994
WAMU INVESTMENTS, INC.
May 5, 1992 - February 10, 1993
SEAFIRST INVESTMENT SERVICES, INC.
August 22, 1989 - November 4, 1992
SEAFIRST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SIERRA PACIFIC SECURITIES, LLC
CRD#: 155160 / SEC#: , 8-68700
Contact information
Documents
Red Flags
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