Noah N. Kauffman
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.
Noah Nathanial Kauffman, who also goes by Noah Nathaniel Kauffman, was a registered financial professional .
Noah is a previously registered financial professional and started their career in finance in 2006. Noah had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 87 and Series 30 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - May 23, 2018
INVESCO CAPITAL MARKETS, INC.
October 26, 2012 - May 10, 2016
INVESCO DISTRIBUTORS, INC.
March 9, 2006 - May 10, 2006
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
INVESCO CAPITAL MARKETS, INC.
CRD#: 6939 / SEC#: , 8-19412
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
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.
