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SK

Sam R. Kaufman

OCP CAPITAL
Wellington, FL
Some features on this profile are disabled
CRD#: 6057455
SK

Professional summary

Sam Richard Kaufman MR is a registered financial professional currently at OCP CAPITAL, LLC located in Wellington, Florida.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2012. Sam has worked at 1 firm and has passed the Series 63, SIE and Series 82 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam Richard Kaufman MR'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®
None

Experience

Current

June 9, 2012 - Present

OCP CAPITAL, LLC

BD
CRD#: 143381
Wellington, FL

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
New York
(6/25/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 6/8/2012
Limited Representative-Private Securities Offerings
SRO Registrations
RR
FINRA

Current Firm

OC
OCP CAPITAL, LLC
OCP CAPITAL, LLC | OUNAVARRA CAPITAL PARTNERS | OUNAVARRA CAPITAL LLC

CRD#: 143381 / SEC#: , 8-67556

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
12156 Longwood Green Dr, Wellington, FL 33414
Mailing Address
12156 Longwood Green Dr, Wellington, FL 33414
Phone number
(917) 656-5997
Established
Delaware since 01/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHIMERA CAPITAL PARTNERS, LLCMEMBER
RUDMAN, GEORGE PAULPRESIDENT, CCO, FINOP2757828

Disclosures

Regulatory Event1

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.

Company Information

OCP CAPITAL, LLC

CRD#: 143381Wellington, FL

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