Wayne S. 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, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Seth Kaufman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2022 - Present
WEATHERVANE ASSET MANAGEMENT LLC
Office #1: 100 Wall Street 10th Floor, New York City, NY 10005August 1, 2014 - Present
PHX FINANCIAL, INC.
Office #1: 100 Wall Street 10th Floor, New York, NY 10005May 7, 2013 - July 31, 2014
ROCKWELL SECURITIES LLC
March 28, 2008 - May 9, 2013
JOHN THOMAS FINANCIAL
October 27, 2006 - March 31, 2008
PRESTIGE FINANCIAL CENTER, INC.
October 22, 2003 - October 13, 2006
S.W. BACH & COMPANY
January 2, 2001 - November 19, 2003
HARRISON SECURITIES, INC.
November 7, 2000 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
May 18, 2000 - November 7, 2000
M.S. FARRELL & COMPANY, INC.
December 2, 1998 - May 16, 2000
JOSEPH DILLON & COMPANY INC.
March 11, 1997 - November 18, 1998
HD BROUS & CO., INC.
September 21, 1995 - March 10, 1997
FIRST ASSET MANAGEMENT, INC.
June 20, 1994 - October 4, 1995
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
WEATHERVANE ASSET MANAGEMENT LLC
CRD#: 312424 / SEC#: 801-120286
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2017)
(9/23/2014)
(8/1/2014)
(1/28/2022)
(8/9/2017)
(7/18/2017)
(1/16/2025)
(8/5/2014)
(9/8/2023)
(4/22/2017)
(1/19/2022)
(11/16/2016)
(3/8/2022)
(8/1/2014)
(1/19/2022)
(4/9/2021)
(12/17/2020)
(2/20/2015)
(1/19/2022)
(1/28/2016)
(6/5/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/10/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
WEATHERVANE ASSET MANAGEMENT LLC
CRD#: 312424 / SEC#: 801-120286
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 66 |
| AUM (Assets Under Management) | $ 260,305,649 |
Red Flags
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