Harold L. Kaufer
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.
Harold Leonard Kaufer was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1968. Harold had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1982 - November 1, 2012
CADARET, GRANT & CO., INC.
January 26, 1981 - December 8, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
August 29, 1978 - October 14, 1979
PENNSYLVANIA SECURITIES COMPANY
December 18, 1972 - August 29, 1978
PENNSYLVANIA SECURITIES COMPANY
July 31, 1970 - January 13, 1973
PENNSYLVANIA EQUITIES CORPORATION
May 23, 1968 - August 29, 1978
GLENWOOD SECURITIES, 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
Series 1
Date: 12/19/1957
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
