William E. Kaufmann
Professional summary
William Edward Kaufmann is a registered financial professional currently at SOVEREIGN GLOBAL ADVISORS LLC located in Denver, Colorado.
William is registered as a RR (Registered Representative) and started their career in finance in 1997. William has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Edward Kaufmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2017 - Present
SOVEREIGN GLOBAL ADVISORS LLC
Office #1: 501 S Cherry Street 11th Floor, Denver, CO 80246August 17, 2016 - June 19, 2017
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
January 5, 2004 - February 12, 2015
FSC SECURITIES CORPORATION
January 1, 2000 - December 19, 2003
FSC SECURITIES CORPORATION
October 27, 1998 - December 19, 2003
FSC SECURITIES CORPORATION
September 17, 1997 - October 27, 1998
WORKMAN SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/26/2017)
(6/19/2017)
(6/19/2017)
(6/19/2017)
Exams
FINRA
Current Firm
SOVEREIGN GLOBAL ADVISORS LLC
CRD#: 167663 / SEC#: , 8-69274
Contact information
FINRA licenses (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,583,152 |
Red Flags
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