James G. Kaufmann

CETERA INVESTMENT ADVISERS LLC

ISLANDIA, NY 11749

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CRD#: 2205879

Professional summary

James Gerard Kaufmann, who also goes by James G Kaufmann, James Kaufmann, Jim Kaufmann, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Islandia, New York and CETERA WEALTH SERVICES, LLC located in Islandia, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James G Kaufmann | James Kaufmann | Jim Kaufmann

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.

1) JK TAX STRATEGIES POSITION: President/Owner NATURE: Income Tax Preparation, I prepare tax returns for individuals and small businesses, then e-file these returns once complete. INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 12/17/2004 ADDRESS: 4250 Veterans Memorial Hwy, Ste 420E, Holbrook NY 11741, United States DESCRIPTION: Prepare income tax returns, electronic filing of these returns and charging a fee. 2) JK TAX STRATEGIES POSITION: President/Owner NATURE: Entity for financial services, offered through Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 12/17/2004 ADDRESS: 4250 VETERANS HIGHWAY SUITE 120, Holbrook NY 11741, United States DESCRIPTION: Meet with clients, discuss goals, objectives, solutions all in the planning process.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Kaufmann'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3033 Express Drive N Ste 101b, Islandia, NY 11749

RIA

CRD#: 105644

ISLANDIA, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3033 Express Dr N Ste 101b, Islandia, NY 11749

CRD#: 13572

Islandia, NY

Past

October 10, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ISLANDIA, NY

Past

October 10, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Islandia, NY

Past

January 23, 2015 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

July 9, 2004 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Holbrook, NY

Past

September 30, 2003 - July 16, 2004

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

October 8, 2001 - October 8, 2003

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

November 18, 1999 - October 11, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

January 13, 1999 - November 19, 1999

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

March 11, 1996 - January 13, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 16, 1992 - March 13, 1996

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

March 16, 1992 - March 13, 1996

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/5/2025)

Colorado
(9/5/2025)

Florida
(9/5/2025)

Massachusetts
(9/5/2025)

Nevada
(9/5/2025)

New Jersey
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

North Carolina
(9/5/2025)

Oklahoma
(9/5/2025)

Pennsylvania
(9/5/2025)

Rhode Island
(9/5/2025)

South Carolina
(9/5/2025)

Vermont
(9/5/2025)

Virginia
(9/5/2025)

Wisconsin
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/22/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/13/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James G. Kaufmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gerard Kaufmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

KESTRA INVESTMENT SERVICES, LLC

OGILVIE SECURITY ADVISORS CORPORATION

NATHAN & LEWIS SECURITIES, INC.

PRIME CAPITAL SERVICES, INC.

OSAIC WEALTH, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2015

Series 63

Date: 4/14/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/30/2001

Series 6

Date: 3/13/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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