John A. Kauffmann

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CRD#: 265222

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.

John Allan Kauffmann was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1966. John had worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 25, 2002 - April 6, 2021

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

January 23, 1984 - April 6, 2021

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 19, 1979 - January 31, 1984

SCHRODER & CO. INC.

CRD#: 6112

Past

June 21, 1978 - May 1, 1980

NEUBERGER BERMAN BD LLC

CRD#: 2908

Past

February 22, 1978 - February 28, 1978

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

July 5, 1966 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

CRD#: 514

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".

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/3/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/1/1966

Registered Representative Examination

Current Firm

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1290 Avenue Of The Americas, New York, NY 10104

Mailing Address

1290 Avenue Of The Americas, New York, NY 10104

Phone number

(212) 476-9000

Established

Delaware since 11/01/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,058

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

Disclosures

Regulatory Event	20
Arbitration	5

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

John A. Kauffmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

SCHRODER & CO. INC.

NEUBERGER BERMAN BD LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INCORPORATED

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1986

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/1/1966

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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