Monica A. Kaufman

HARMONY ASSET MANAGEMENT LLC

Mckinney, TX 75070

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CRD#: 2471533

Professional summary

Monica A Kaufman, CFP®, who also goes by Monica A Kaufman, Monica Aileen Kaufman, Monica Aileen Paley, is a registered financial advisor currently at HARMONY ASSET MANAGEMENT LLC located in Mckinney, Texas.

Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Monica has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monica A Kaufman | Monica Aileen Kaufman | Monica Aileen Paley

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.

MORLEY CONSULTING 857 KEDRON AVE MERTON PA TAX ADVISORY SINCE 11/01/2020 INSURANCE LICENSED - LIFE AND HEALTH NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica A Kaufman'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

November 11, 2020 - Present

HARMONY ASSET MANAGEMENT LLC

Office #1: 300 E. Davis Street #136, Mckinney, TX 75070

RIA

CRD#: 7691

ELKIN PARK, PA

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".

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(11/11/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/23/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/2017

General Securities Representative Examination

Current Firm

HARMONY ASSET MANAGEMENT LLC

EXPANSION FUNDS AMERICA | ROSENFIELD, ALAN E. | HARMONY NONPROFIT | HARMONY ASSET MANAGEMENT LLC | EXPANSION FUNDS AMERICA LLC

CRD#: 116069 / SEC#: 801-118731

RIA

Registered Investment Advisory firm - (5/15/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2020 Terminated)

Florida

Registered Investment Advisory firm - (11/11/2020 Terminated)

New York

Registered Investment Advisory firm - (11/11/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/4/2006 Terminated)

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Contact information

Main Address

16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 314-5967

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HARMONY ASSET MANAGEMENT LLC - BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 393,589,232

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.

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Firm Stability Insights

Monica A. Kaufman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica A Kaufman's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

MORGAN STANLEY

MORGAN STANLEY

EDWARD JONES

EDWARD JONES

FAMILY OFFICE GROUP LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HARMONY ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2017

Series 7TO

Date: 3/23/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2017

Current Firm

HARMONY ASSET MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARMONY ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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