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JK

Jeffrey Kauffman

CITIZENS JMP SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 1982661
JK

Professional summary

Jeffrey Kauffman, who also goes by Jeff Kauffman, Jeffrey A Kauffman, Jeffrey Asher Kauffman, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in San Francisco, California.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 11 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 86, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Kauffman | Jeffrey A Kauffman | Jeffrey Asher Kauffman

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) - BD

Click below to view Jeffrey Kauffman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 14, 2026 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: 101 California Street Suite 1700, San Francisco, CA 94111
BD
CRD#: 22208
SAN FRANCISCO, CA
Past

January 27, 2026 - May 13, 2026

VERTICAL RESEARCH SECURITIES, INC.

BD
CRD#: 334696
STAMFORD, CT
Past

September 14, 2018 - January 7, 2021

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
NEW YORK, NY
Past

September 6, 2016 - October 18, 2017

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

May 9, 2013 - September 8, 2016

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

BD
CRD#: 13233
NEW YORK, NY
Past

August 12, 2009 - May 10, 2013

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

May 7, 2004 - March 23, 2005

GEORGE WEISS & COMPANY LLC

BD
CRD#: 41526
HARTFORD, CT
Past

May 5, 2004 - February 22, 2006

GEORGE WEISS ASSOCIATES, INC.

BD
CRD#: 7683
HARTFORD, CT
Past

May 6, 2003 - April 16, 2004

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

June 24, 1999 - June 28, 1999

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

December 10, 1994 - July 12, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(5/14/2026)
RR
Florida
(5/15/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 3/17/2017
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 87
Date: 10/10/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/8/2009
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/10/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/3/2001
National Commodity Futures Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS

CRD#: 22208 / SEC#: , 8-39613

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JMP HOLDING LLCPARENT COMPANY
CONROY, WALTER IVORGENERAL COUNSEL6641487
GREGORY, JOHNPRESIDENT4600619
JACKSON, RAYMOND SIVACHIEF FINANCIAL OFFICER5563363
MCLAUGHLIN, BRENDANCHIEF COMPLIANCE OFFICER2562815
O'DAY, JAMES CORTLANDHEAD OF EQUITIES5618215
PITARRESI, JOHN CHARLESSENIOR REGISTERED OPTIONS PRINCIPAL (SROP)2064758
SLADER, GAVIN WILLEYHEAD OF INVESTMENT BANKING4130019
SPURR, JEFFREY HOLMESHEAD OF RESEARCH1384716
SUCHY, GREGORY JOHNCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER5907019
WHITEHEAD, AIDAN PETERHEAD OF TRADING & SALES TRADING2474257
XIAO, ZHUO VIVIAN XUANFINOP5121578

Disclosures

Regulatory Event6

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.

Company Information

CITIZENS JMP SECURITIES, LLC

CRD#: 22208San Francisco, CA 94111

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