William R. Kaufman

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CRD#: 4574044

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.

William Raymond Kaufman was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1999. William had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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.

WILLIAM R. KAUFMAN ATTORNEY-AT-LAW NOT INVESTMENT RELATED 940 CENTURY DRIVE MECHANICSBURG, PA 17055 PROPRIETOR 12/10/1996 29 HOURS/MONTH 29 HOURS/MONTH DURING SECURITIES TRADING HOURS ATTORNEY

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

February 10, 2003 - September 23, 2019

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

RIA

CRD#: 123322

MECHANICSBURG, PA

Past

September 30, 1999 - January 31, 2023

DEMUTH & KAUFMAN PROFESSIONAL MANAGEMENT CONSULTANTS

RIA

CRD#: 121961

MECHANICSBURG, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

CRD#: 123322 / SEC#: 801-101544

RIA

Registered Investment Advisory firm - (7/31/2015 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/4/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

CRD#: 123322 / SEC#: 801-101544

RIA

Registered Investment Advisory firm - (7/31/2015 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/4/2015 Terminated)

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Contact information

Main Address

940 Century Drive Suite B, Mechanicsburg, PA 17055-4376

Mailing Address

Phone number

(717) 790-9001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC ADV PART 2A ANNUAL AMENDMENT V.02.10.25 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	701
AUM (Assets Under Management)	$ 340,449,686

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.

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William R. Kaufman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

DEMUTH & KAUFMAN PROFESSIONAL MANAGEMENT CONSULTANTS

Primary Firm SEC Registration

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Current Firm

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY

TRUST BUT VERIFY

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