Michael D. 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.
Michael David Kaufman, who also goes by Mike Kaufman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
February 4, 2014 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
August 29, 2013 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
March 6, 2013 - September 5, 2013
LPL FINANCIAL LLC
February 20, 2013 - September 5, 2013
LPL FINANCIAL LLC
July 26, 2010 - February 20, 2013
USAA FINANCIAL PLANNING SERVICES
May 10, 2010 - February 20, 2013
USAA FINANCIAL ADVISORS, INC.
June 1, 2009 - June 26, 2009
MORGAN STANLEY
June 25, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 24, 1996 - July 21, 1998
UBS FINANCIAL SERVICES INC.
August 11, 1995 - July 17, 1996
BUTLER & CO., INC.
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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
