Ben C. Kaufmann

HARBOUR INVESTMENTS

LEXINGTON, KY 40508

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CRD#: 265356

Professional summary

Ben Combs Kaufmann, CFP®, who also goes by Ben C Kaufmann, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Lexington, Kentucky.

Ben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Ben has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben C Kaufmann

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.

1)BEN KAUFMANN AGENCY, OWNER, INDEPENDENT INSURANCE AGENT - INCLUDING EQUITY INDEXED ANNUITIES, 352 S BROADWAY, LEXINGTON, KY 40508, START DATE 3/1/1977, 40 HOURS/MONTH DURING SECURITIES HOURS AND 20 HOURS MONTH AFTER. 2)KAUFMANN PROPERTIES LLC, 352 S. BROADWAY, LEXINGTON, KY 40508, REAL ESTATE MANAGEMENT, OWNER,START DATE 6/1/1967, 30 HOURS/MONTH DURING SECURITIES HOURS AND 10 HOURS/MONTH AFTER. 3) 525 UPPER LLC, MEMBER, REAL ESTATE, COMMERCIAL RENTAL, 352 S BROADWAY, LEXINGTON, KY 40508, START DATE 3/23/2012, NON-INVESTMENT RELATED, 1 HOUR/MONTH AFTER SECURITIES TRADING HOURS.4)DIRECTOR, BANK OF HINDMAN, MONTHLY BOARD MEETINGS, 39 WEST MAIN STREET, HINDMAN KY, START DATE 5/17/2012, 2 HOURS/MONTH DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS. 5) BEN C KAUFMANN CRUT, 08/2016 - PRESENT, 352 S BROADWAY, LEXINGTON, KY 40508, NON-INVESTMENT RELATED, 1 HR DURING TRADING HOURS, 1 HR DURING NON TRADING HOURS. 6) UHAPS- BOARD OF DIRECTOR-BUSINESS ADVICE 03/2016

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ben Combs Kaufmann's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ben Combs Kaufmann's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1982

Experience

Current

September 2, 2009 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 352 South Broadway, Lexington, KY 40508

RIA

CRD#: 19258

LEXINGTON, KY

Current

August 27, 2009 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 352 South Broadway, Lexington, KY 40508

RIA

CRD#: 19258

LEXINGTON, KY

Past

March 11, 2003 - August 27, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

LEXINGTON, KY

Past

January 8, 2003 - August 27, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

LEXINGTON, KY

Past

July 7, 1999 - January 13, 2003

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

November 27, 1995 - July 9, 1999

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 5, 1989 - December 6, 1995

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

May 1, 1986 - January 30, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

Past

October 30, 1984 - May 5, 1986

OSAIC FS, INC.

CRD#: 3870

Past

November 23, 1970 - June 6, 1977

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

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".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(8/27/2009)

Arizona
(8/11/2016)

California
(8/27/2009)

Connecticut
(6/28/2024)

Florida
(5/19/2011)

Georgia
(8/27/2009)

Indiana
(8/27/2009)

Kentucky
(8/27/2009)

IAR

Kentucky
(9/2/2009)

New Hampshire
(8/26/2022)

New York
(8/27/2009)

Oregon
(8/27/2009)

Pennsylvania
(11/16/2020)

Tennessee
(10/17/2022)

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

State Security Law Exam

Series 63

Date: 2/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 11/14/1970

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	CO-CCO	5675560
MEDLAND, RICHARD ONEILL	CO-CCO	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

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

Ben C. Kaufmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ben Combs Kaufmann's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ben Combs Kaufmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

SPELMAN & CO., INC.

COMMONWEALTH FINANCIAL NETWORK

HORNOR, TOWNSEND & KENT, LLC

FSC SECURITIES CORPORATION

OSAIC FS, INC.

THE O.N. EQUITY SALES COMPANY

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 1

Date: 11/14/1970

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

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