Craig C. Hess
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.
Craig Clifford Hess was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1992. Craig had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2018 - October 3, 2024
JH KAUFMAN LLC
October 18, 2001 - October 3, 2002
GOLDMAN SACHS & CO. LLC
January 30, 1995 - May 19, 1998
UBS FINANCIAL SERVICES INC.
August 7, 1992 - October 13, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
JH KAUFMAN LLC
CRD#: 291053 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 9,200,000 |
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.
