Jeffrey L. Caufield
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.
Jeffrey Lin Caufield was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1973. Jeffrey had worked at 7 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2004 - December 31, 2006
SPC
February 9, 2002 - November 11, 2019
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
August 2, 1988 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 21, 1979 - November 25, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 18, 1978 - August 15, 1988
WOODBURY FINANCIAL SERVICES, INC.
August 14, 1973 - November 10, 1978
ACACIA EQUITY SALES CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 62
Date: 12/20/2010
Corporate Securities Limited Representative ExaminationSeries 1
Date: 7/6/1973
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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