Adam K. Kaufman
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.
Adam Kyle Kaufman was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2011. Adam had worked at 3 firms and has passed the Series 63, Series 62, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2013 - September 3, 2013
PUBVEST SECURITIES, LLC
February 7, 2013 - May 21, 2013
CITY NATIONAL SECURITIES, INC.
August 1, 2011 - October 26, 2012
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 62
Date: 3/23/2013
Corporate Securities Limited Representative ExaminationCurrent Firm
PUBVEST SECURITIES, LLC
CRD#: 166428 / SEC#: , 8-69209
Contact information
Documents
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.
