Micah H. 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.
Micah Harry Kaufman was a registered financial professional .
Micah is a previously registered financial professional and started their career in finance in 1998. Micah had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
December 12, 2018 - January 10, 2021
ALTERNATIVE EXECUTION GROUP
May 19, 2010 - October 3, 2011
WOLF A. POPPER, INC.
April 29, 2010 - December 13, 2018
J.H. DARBIE & CO., INC.
April 24, 2008 - May 7, 2010
RANGE GLOBAL LLC
July 20, 2004 - April 4, 2008
SLOAN SECURITIES CORP.
May 7, 2003 - July 16, 2004
CROWN FINANCIAL GROUP, INC.
December 11, 1998 - March 21, 2003
KNIGHT CAPITAL AMERICAS, L.P.
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 55
Date: 2/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
ALTERNATIVE EXECUTION GROUP
CRD#: 167830 / SEC#: , 8-69279
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
