Marjorie Kauffmann
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.
Marjorie Kauffmann was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 2011. Marjorie had worked at 3 firms and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2012 - February 4, 2013
SAWAYA PARTNERS SECURITIES, LLC
January 4, 2011 - April 15, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
January 4, 2011 - September 22, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
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
SAWAYA PARTNERS SECURITIES, LLC
CRD#: 148860 / SEC#: , 8-68076
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAWAYA PARTNERS, LLC | SOLE SHAREHOLDER | |
| KUHR, JEFFREY HOWARD | CHIEF COMPLIANCE OFFICER | 2251059 |
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.
