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SK

Scott D. Kaufman

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CRD#: 2728979
SK

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.

Scott D Kaufman, who also goes by Scott David Kaufman, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 4 firms and has passed the Series 66, Series 7 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott David Kaufman

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 18, 2011 - January 10, 2019

HILLAIR CAPITAL MANAGEMENT LLC

RIA
CRD#: 157022
HOUSTON, TX
Past

September 29, 2010 - November 1, 2010

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
RIDGEFIELD, CT
Past

January 14, 2010 - September 24, 2010

CAPSTONE INVESTMENTS

BD
CRD#: 41400
SAN DIEGO, CA
Past

January 12, 2001 - February 14, 2002

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

September 20, 2000 - December 17, 2000

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

April 9, 1996 - September 14, 2000

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 5/10/1999
Limited Representative-Equity Trader Exam

Current Firm

HC
HILLAIR CAPITAL MANAGEMENT LLC
HILLAIR CAPITAL MANAGEMENT LLC

CRD#: 157022 / SEC#: 802-114602

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Contact information

Main Address
13100 Wortham Center Drive 3rd Floor, #3119, Houston, TX 77065
Mailing Address
Phone number
(650) 619-7372
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn2/27/2020
TexasERA - Withdrawn7/14/2023

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.

Company Information

HILLAIR CAPITAL MANAGEMENT LLC

CRD#: 157022

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