JUSTIN KAUFMAN
HIGHTOWER SECURITIES | Director of Client Services and Operations
Chicago, IL 60606-3414
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CRD#: 5287426
Professional summary
JUSTIN KAUFMAN is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
JUSTIN is registered as a RR (Registered Representative) and started their career in finance in 2012. JUSTIN has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Justin Kaufman joined the Hightower Omaha team in July of 2020 as the Director of Client Services and Operations. Justin leverages his strong organizational and communications skills to support the team’s operations and overall client experience. Justin prides himself on being a key resource for client’s day to day needs, as well as ongoing relationship development and management. His responsibilities include facilitating client requests, opening accounts, researching and resolving account-related inquiries and supporting team operations.
Justin has spent the last 15 years working in various Technology Training and Consulting roles, helping advisors and their staff find and implement technology to help them run more efficient financial practices. In addition to providing technology support and guidance, he has also been a regular presenter at a number of regional and national events within the financial industry. He currently holds the Series 7 and 66 licenses.
Outside of working in the financial services industry, Justin is also a proud husband to Caroline and father of two: Carter and Lillian. He plays rhythm/lead guitar in a local Irish band called the Shenanigans with his father, brother and their longtime friends, the Burkes. Other hobbies include golf, basketball and working on pencil portraits for friends and family.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view JUSTIN KAUFMAN's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 6, 2020 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414BD
CRD#: 116681
Chicago, IL
Past
July 18, 2012 - July 30, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Omaha, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Iowa(1/5/2021)
RR
Nebraska(1/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Director of Client Services and OperationsCRD#: 116681Chicago, IL 60606-3414TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
