William Richard Kaufman
Professional Summary
William Richard Kaufman was a registered financial advisor. William was a previously registered financial professional and started their career in finance 2001 - 2004. William had worked at 2 firms and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
AFS BROKERAGE, INC. | SPRAGUE CAPITAL MANAGEMENT GROUP LLC | SPECTRUM FINANCIAL | RETIREMENT STATEGIES L.L.C. | MQ CAPITAL | MICHAEL BROOKE FINANCIAL | JOLLIFFE CAPITAL, INC. | INNOVATIVE FINANCIAL PARTNERS LLC | HV CAPITAL | GLOBAL PACIFIC PARTNERS LLC | EVANS FINANCIAL | ELITE FINANCIAL SERVICES | COX & KOR WEALTH MANAGEMENT | AMPLIFY CAPITAL PARTNERS
Contact Information
Established
Colorado since 08/14/1989Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AFS HOLDINGS CORP. | DIRECT OWNER | — |
| HURWITZ, DONALD CLIFFORD | PRESIDENT, CEO | 2934017 |
| KOCZERA, LYNN COLTON | CHIEF FINANCIAL OFFICER; FIN OP | 1065105 |
| LAYNE, CYNTHIA ANNE | MUNICIPALS PRINCIPAL | 1441222 |
| LAYNE, CYNTHIA ANNE | SROP | 1441222 |
| LAYNE, CYNTHIA ANNE | MANAGER OF OPERATIONS/SUPERVISOR | 1441222 |
| SHADE, KENNETH EUGENE | CROP | 3259826 |
| SHADE, KENNETH EUGENE | EXECUTIVE VICE PRESIDENT | 3259826 |
| SHADE, KENNETH EUGENE | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | 3259826 |
Disclosures
Regulatory Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2001About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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