John F. Kauffeld
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 Francis Kauffeld, who also goes by John F Kauffeld, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 6 firms and has passed the Series 66, Series 79TO, SIE, Series 7, Series 51, Series 4 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
April 29, 2010 - December 31, 2021
WORLD INVESTMENTS, LLC
April 29, 2010 - December 31, 2021
WORLD INVESTMENTS, LLC
September 30, 2004 - May 12, 2010
AMERITAS INVESTMENT COMPANY, LLC
October 31, 2003 - May 12, 2010
AMERITAS INVESTMENT COMPANY, LLC
January 17, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
January 9, 2003 - September 30, 2004
THE ADVISORS GROUP, INC.
August 21, 2002 - January 6, 2003
EQUITABLE ADVISORS, LLC
September 24, 2001 - December 31, 2002
PROGRESS FINANCIAL ADVISORS
May 25, 2001 - January 6, 2003
EQUITABLE ADVISORS, LLC
August 28, 1997 - March 2, 2000
MAFG RIA SERVICES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
