David E. 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.
David Edward Kaufman, who also goes by Dave Kaufman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, 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
July 11, 2025 - April 20, 2026
CAPITAL CONNECT, LLC
June 17, 2024 - July 11, 2025
MMX GLOBAL PARTNERS, LLC
October 10, 2013 - June 17, 2024
PERSHING LLC
June 8, 2009 - October 25, 2013
J.P. MORGAN SECURITIES LLC
October 10, 2000 - September 13, 2002
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CAPITAL CONNECT, LLC
CRD#: 329399 / SEC#: , 8-71196
Contact information
FINRA licenses (31 States and Territories)
Documents
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.
