Ariel N. Kauffman
Professional summary
Ariel Nicole Kauffman, who also goes by Ariel Nicole Johnson, Ariel Johnson, was a registered financial advisor .
Ariel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Ariel had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2026 - Present
March 5, 2021 - February 1, 2024
SOLITUDE FINANCIAL SERVICES, INC.
March 7, 2018 - September 5, 2019
ASSETMARK, INC.
March 7, 2018 - September 5, 2019
ASSETMARK BROKERAGE, LLC
June 9, 2017 - October 16, 2017
CHARLES SCHWAB & CO., INC.
May 26, 2017 - October 16, 2017
CHARLES SCHWAB & CO., 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
What does exam status mean?
Current firm
No current employment
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.
