Ariel N. Kauffman

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CRD#: 6667237

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.

Ariel Nicole Kauffman, who also goes by Ariel Nicole Johnson, Ariel Johnson, was a registered financial professional .

Ariel is a previously registered financial professional and started their career in finance in 2017. Ariel had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ariel Nicole Johnson | Ariel Johnson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2021 - February 1, 2024

SOLITUDE FINANCIAL SERVICES, INC.

RIA

CRD#: 150348

CHARLOTTESVILLE, VA

Past

March 7, 2018 - September 5, 2019

ASSETMARK, INC.

RIA

CRD#: 109018

Phoenix, AZ

Past

March 7, 2018 - September 5, 2019

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Phoenix, AZ

Past

June 9, 2017 - October 16, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

May 26, 2017 - October 16, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOLITUDE FINANCIAL SERVICES, INC.

GENE MICHAEL KOWALSKI | SOLITUDE FINANCIAL SERVICES, INC. | SOLITUDE FINANCIAL SERVICES | KOWALSKI CONSULTING

CRD#: 150348 / SEC#: 801-117235

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Florida

Registered Investment Advisory firm - (11/8/2019 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2019 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/9/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/2017

General Securities Representative Examination

Current Firm

SOLITUDE FINANCIAL SERVICES, INC.

GENE MICHAEL KOWALSKI | SOLITUDE FINANCIAL SERVICES, INC. | SOLITUDE FINANCIAL SERVICES | KOWALSKI CONSULTING

CRD#: 150348 / SEC#: 801-117235

RIA

Registered Investment Advisory firm - (8/23/2019 Approved)

Florida

Registered Investment Advisory firm - (11/8/2019 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2019 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2019 Terminated)

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Contact information

Main Address

236 East High Street, Charlottesville, VA 22902

Mailing Address

Phone number

(434) 218-2201

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	668
AUM (Assets Under Management)	$ 283,963,291

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
10/24/2023	Cover Page	Report
01/19/2023	Cover Page	Report

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.

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Firm Stability Insights

Ariel N. Kauffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SOLITUDE FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/26/2017

Current Firm

SOLITUDE FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SOLITUDE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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