Howard T. 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.
Howard Tobias Kaufman, CFP® was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1994. Howard had worked at 6 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
December 18, 2002 - November 13, 2013
FINANCIAL ADVISORS, LTD
May 26, 2000 - May 13, 2002
FREEDOM FINANCIAL, INC.
June 24, 1997 - May 18, 1999
SICOR SECURITIES INC
September 5, 1996 - June 20, 1997
WORKMAN SECURITIES CORPORATION
August 25, 1994 - October 11, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 25, 1994 - October 11, 1995
OSAIC FA, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL ADVISORS, LTD
CRD#: 123355 / SEC#:
Contact information
Red Flags
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