Joshua M. Kaufman

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CRD#: 2916952

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.

Joshua Marc Kaufman was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 1998. Joshua had worked at 8 firms and has passed the Series 66, Series 7 and Series 24 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

November 12, 2009 - February 15, 2013

CONNING, INC.

RIA

CRD#: 107423

HARTFORD, CT

Past

December 6, 2007 - October 12, 2009

CONNING INVESTMENT PRODUCTS, INC.

RIA

CRD#: 120387

HARTFORD, CT

Past

December 5, 2007 - February 15, 2013

CONNING INVESTMENT PRODUCTS, INC.

CRD#: 120387

HARTFORD, CT

Past

April 20, 2007 - July 6, 2007

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

HARTFORD, CT

Past

February 2, 2007 - April 11, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 2, 2007 - April 11, 2007

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

February 23, 2000 - October 24, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 19, 1999 - January 20, 2000

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

May 7, 1998 - October 26, 1998

LEBENTHAL & CO., INC.

CRD#: 6490

NEW YORK, NY

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".

CONNING, INC.

CONNING | CONNING, INC. | CONNING RESEARCH AND CONSULTING | CONNING ASSET MANAGEMENT CO | CONNING ASSET MANAGEMENT

CRD#: 107423 / SEC#: 801-18641

RIA

Registered Investment Advisory firm - (3/21/1983 Approved)

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

IAR

Series 66

Date: 7/13/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/1/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2008

General Securities Principal Examination

Current Firm

CONNING, INC.

CONNING | CONNING, INC. | CONNING RESEARCH AND CONSULTING | CONNING ASSET MANAGEMENT CO | CONNING ASSET MANAGEMENT

CRD#: 107423 / SEC#: 801-18641

RIA

Registered Investment Advisory firm - (3/21/1983 Approved)

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Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

Phone number

(860) 299-2000

Established

Firm type

Fiscal year end

# of Employees

270

SEC notice filing (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 99,533,233,234

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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Advisor Monitoring

Firm Stability Insights

Joshua M. Kaufman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONNING INVESTMENT PRODUCTS, INC.

CONNING INVESTMENT PRODUCTS, INC.

VOYA FINANCIAL PARTNERS, LLC

MML INVESTORS SERVICES, LLC

MML DISTRIBUTORS, LLC

QUICK & REILLY, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

LEBENTHAL & CO., INC.

Primary Firm SEC Registration

CONNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/1998

Series 7

Date: 2/1/2007

Series 24

Date: 6/23/2008

Current Firm

CONNING, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONNING, INC.

TRUST BUT VERIFY

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