David Brad Kauffman
CFP®Professional Summary
David Brad Kauffman, CFP® is a registered financial advisor currently at CW ADVISORS, LLC located in Columbia, Maryland. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 7 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Credentials
Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC
Contact Information
Main Address
155 Seaport Blvd 3rd Floor, Boston, MA 02210Phone Number
(617) 428-7600# of Employees
152SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
23,756AUM (Assets Under Management)
$15,224,527,279Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2026 | Cover Page | Report |
| 10/23/2025 | Cover Page | Report |
| 07/02/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC
State Registrations and Notice Filings
(4/19/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 1991About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Brad Kauffman's CRS (Customer Relationship Summary).
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