Scott A. Kaufman
Professional summary
Scott Alan Kaufman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Scott had worked at 5 firms, which includes VANGUARD MARKETING CORPORATION, LPL FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, JANNEY MONTGOMERY SCOTT LLC, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2020 - April 14, 2020
VANGUARD MARKETING CORPORATION
June 30, 2017 - September 9, 2019
LPL FINANCIAL LLC
June 30, 2017 - September 9, 2019
LPL FINANCIAL LLC
November 18, 2010 - July 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 16, 2010 - July 7, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2008 - November 23, 2010
JANNEY MONTGOMERY SCOTT LLC
April 1, 2008 - November 23, 2010
JANNEY MONTGOMERY SCOTT LLC
March 16, 1994 - April 4, 2008
LPL FINANCIAL LLC
June 19, 1990 - March 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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