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DK

David C. Kauffman

Some features on this profile are disabled
CRD#: 2365373
DK

Professional summary

David Charles Kauffman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, David had worked at 13 firms, which includes MCL FINANCIAL GROUP INC., FIRST ALLIED SECURITIES INC., WELLS FARGO INVESTMENTS LLC, BANC OF AMERICA INVESTMENT SERVICES INC., NEXT ADVISORS INC., WAMU INVESTMENTS INC., GRIFFIN FINANCIAL SERVICES, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, GATEWAY INVESTMENT SERVICES INC., MORGAN STANLEY DW INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, L.C. WEGARD & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Kauffman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 15, 2011 - December 1, 2011

MCL FINANCIAL GROUP, INC.

RIA
CRD#: 41180
CARLSBAD, CA
Past

February 14, 2011 - June 13, 2011

MCL FINANCIAL GROUP, INC.

BD
CRD#: 41180
CARLSBAD, CA
Past

April 12, 2006 - September 15, 2010

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
CARLSBAD, CA
Past

March 7, 2006 - September 15, 2010

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
CARLSBAD, CA
Past

September 17, 2002 - March 2, 2006

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
FALLBROOK, CA
Past

September 17, 2002 - March 2, 2006

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

April 3, 2002 - September 16, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
FALLBROOK, CA
Past

August 7, 2000 - September 16, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

January 6, 1999 - February 18, 2000

NEXT ADVISORS INC.

BD
CRD#: 14612
GARFIELD HEIGHTS, OH
Past

January 1, 1999 - January 8, 1999

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

February 11, 1998 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823
Past

January 16, 1997 - January 9, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

July 19, 1996 - January 10, 1997

GATEWAY INVESTMENT SERVICES, INC.

BD
CRD#: 31153
OAK PARK, IL
Past

May 24, 1995 - March 6, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 8, 1995 - May 8, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 8, 1995 - May 8, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

July 9, 1993 - November 1, 1993

L.C. WEGARD & CO., INC.

BD
CRD#: 3722
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/15/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 6/16/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/1999
General Securities Principal Examination

Current Firm

MF
MCL FINANCIAL GROUP, INC.
MCL FINANCIAL AND INSURANCE SERVICES | MCL INSURANCE GROUP OF CALIFORNIA, INC. | MCL FINANCIAL GROUP, INC.

CRD#: 41180 / SEC#: , 8-49325

BD
Terminated by SEC on 08/15/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 03/01/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCL HOLDING, INC.OWNER
SINGLETON, LAWRENCE JOSEPH IIICHIEF COMPLIANCE OFFICER4037738
SINGLETON, LAWRENCE JOSEPH IIIPRESIDENT; CHIEF EXECUTIVE OFFICER4037738

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

MCL FINANCIAL GROUP, INC.

CRD#: 41180

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