Wayne Seth Kaufman
Professional Summary
Wayne Seth Kaufman is a registered financial advisor currently at WEATHERVANE ASSET MANAGEMENT LLC located in New York City, New York and PHX FINANCIAL, INC. located in New York, New York. Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Wayne has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 16, Series 87, Series 86,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
WEATHERVANE ASSET MANAGEMENT LLC
Contact Information
Main Address
1 East Broward Blvd. Suite 700, Fort Lauderdale, FL 33301Phone Number
(516) 305-9438# of Employees
4SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
70AUM (Assets Under Management)
$384,119,258Similar Advisors
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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.
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Primary Firm SEC Registration
WEATHERVANE ASSET MANAGEMENT LLC
State Registrations and Notice Filings
(1/7/2017)
(9/23/2014)
(8/1/2014)
(8/9/2017)
(7/18/2017)
(1/16/2025)
(8/5/2014)
(4/17/2026)
(9/8/2023)
(4/22/2017)
(1/19/2022)
(11/16/2016)
(8/1/2014)
(1/19/2022)
(4/9/2021)
(12/17/2020)
(2/20/2015)
(1/19/2022)
(1/28/2016)
(6/5/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Nov 2004About the Series 87 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1998SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Wayne Seth Kaufman's CRS (Customer Relationship Summary).
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