James S. Kaufman
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.
James Samuel Kaufman, who also goes by Jim Kaufman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 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
September 15, 2016 - November 20, 2019
WHITEWOOD CAPITAL MANAGEMENT, LLC
December 22, 2015 - December 31, 2023
AEGIS CAPITAL CORP.
November 10, 2011 - December 23, 2015
RAYMOND JAMES & ASSOCIATES, INC.
March 13, 2006 - December 23, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 3, 2003 - March 15, 2006
OPPENHEIMER & CO. INC.
October 25, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
August 14, 1997 - November 3, 1999
UBS FINANCIAL SERVICES INC.
August 18, 1995 - August 22, 1997
J.P. MORGAN SECURITIES LLC
May 6, 1993 - August 8, 1994
J.P. MORGAN SECURITIES LLC
February 22, 1993 - May 10, 1993
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
March 27, 1992 - March 10, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/30/2007
Limited Representative-Equity Trader ExamCurrent Firm
WHITEWOOD CAPITAL MANAGEMENT, LLC
CRD#: 282397 / SEC#:
Contact information
Red Flags
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