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SK

Stephen L. Kaufman

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CRD#: 4152503
SK

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.

Stephen L. Kaufman was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

December 7, 2010 - November 1, 2012

SOUTHERN TRUST FINANCIAL PLANNING

RIA
CRD#: 131377
NAPLES, FL
Past

November 10, 2010 - October 18, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
NAPLES, FL
Past

March 23, 2009 - November 10, 2010

MOORS & CABOT, INC.

RIA
CRD#: 594
NAPLES, FL
Past

March 11, 2009 - November 10, 2010

MOORS & CABOT, INC.

BD
CRD#: 594
NAPLES, FL
Past

January 14, 2005 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NAPLES, FL
Past

January 14, 2005 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NAPLES, FL
Past

July 1, 2003 - January 14, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PARAMUS, NJ
Past

July 1, 2003 - January 14, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 20, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
PARAMUS, NJ
Past

May 17, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/1/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/23/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2000
General Securities Representative Examination

Current Firm

ST
SOUTHERN TRUST FINANCIAL PLANNING
INVESTMENT FINANCIAL SERVICES ADVISORS | WOLFF-JUALL INVESTMENT AVISORS, INC. | WOLFF-JUALL INVESTMENT ADVISORS, INC. | WOLFF-JUALL INVESTMENT ADVISORS | SOUTHERN TRUST FINANCIAL PLANNING, INC. | SOUTHERN TRUST FINANCIAL PLANNING

CRD#: 131377 / SEC#: 801-70791

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Contact information

Main Address
1943 Morrill Street Suite 1, Sarasota, FL 34236
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SOUTHERN TRUST FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2021)

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.

Company Information

SOUTHERN TRUST FINANCIAL PLANNING

CRD#: 131377

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