Jonathan D. 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.
Jonathan David Kaufman was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2017 - March 10, 2020
GLOBALT INVESTMENTS
August 7, 2013 - February 16, 2017
GLOBALT INVESTMENTS
December 1, 2010 - February 16, 2017
SYNOVUS SECURITIES, INC.
May 31, 2006 - August 6, 2013
GLOBALT INC
April 30, 2003 - May 3, 2007
SYNOVUS SECURITIES, INC.
April 30, 2003 - December 31, 2010
CREATIVE FINANCIAL GROUP LTD
August 1, 2001 - February 16, 2017
SYNOVUS SECURITIES, INC.
August 4, 2000 - August 1, 2001
ROBERT ANDREW SECURITIES, INC.
May 30, 1996 - March 3, 1999
IFG NETWORK 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
Current Firm
GLOBALT INVESTMENTS
CRD#: 168405 / SEC#: 801-78344
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,225 |
| AUM (Assets Under Management) | $ 2,543,718,212 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 11/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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