Evan R. 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.
Evan Ross Kaufman was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 2002. Evan had worked at 5 firms and has passed the Series 66, Series 7, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2012 - November 19, 2013
1ST GLOBAL ADVISORS INC
April 12, 2012 - November 19, 2013
1ST GLOBAL CAPITAL CORP.
August 4, 2010 - June 6, 2011
PRUCO SECURITIES, LLC.
April 15, 2008 - November 18, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
November 11, 2002 - July 21, 2003
UBS FINANCIAL SERVICES INC.
October 21, 2002 - July 21, 2003
UBS FINANCIAL 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 55
Date: 5/16/2008
Limited Representative-Equity Trader ExamSeries 62
Date: 4/14/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
