BK
Brandon A. Kauffman
THINKEQUITY LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 6964534
BK
Professional summary
Brandon Allen Kauffman, who also goes by Brandon A Kauffman, Brandon A. Kauffman, Brandon Allen Kauffman, Brandon Kauffman, is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
Brandon is registered as a RR (Registered Representative) and started their career in finance in 2019. Brandon has worked at 4 firms and has passed the Series 63, Series 7TO, Series 87, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brandon A Kauffman | Brandon A. Kauffman | Brandon Allen Kauffman | Brandon Kauffman
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.
CRS (Client Relationship Summary) - BD
Click below to view Brandon Allen Kauffman'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®
NoneExperience
Current
June 10, 2024 - Present
THINKEQUITY LLC
Office #1: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
April 20, 2022 - January 20, 2023
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
May 18, 2021 - April 1, 2022
D.A. DAVIDSON & CO.
BD
CRD#: 199
NEW YORK, NY
Past
July 29, 2019 - May 19, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CLIFTON PARK, NY
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
Alabama(6/11/2024)
RR
Alaska(6/11/2024)
RR
Arizona(6/11/2024)
RR
Arkansas(6/11/2024)
RR
California(6/11/2024)
RR
Colorado(6/11/2024)
RR
Connecticut(6/11/2024)
RR
Delaware(6/11/2024)
RR
District of Columbia(6/11/2024)
RR
Florida(6/11/2024)
RR
Georgia(6/11/2024)
RR
Hawaii(6/11/2024)
RR
Idaho(6/11/2024)
RR
Illinois(6/11/2024)
RR
Indiana(6/11/2024)
RR
Iowa(6/11/2024)
RR
Kansas(6/11/2024)
RR
Kentucky(6/11/2024)
RR
Louisiana(6/11/2024)
RR
Maine(6/11/2024)
RR
Maryland(6/11/2024)
RR
Massachusetts(6/11/2024)
RR
Michigan(6/11/2024)
RR
Minnesota(6/11/2024)
RR
Mississippi(6/11/2024)
RR
Missouri(6/11/2024)
RR
Montana(6/11/2024)
RR
Nebraska(6/11/2024)
RR
Nevada(6/11/2024)
RR
New Hampshire(6/11/2024)
RR
New Jersey(6/11/2024)
RR
New Mexico(6/11/2024)
RR
New York(6/11/2024)
RR
North Carolina(6/12/2024)
RR
North Dakota(6/11/2024)
RR
Ohio(6/11/2024)
RR
Oklahoma(6/11/2024)
RR
Oregon(6/11/2024)
RR
Pennsylvania(6/11/2024)
RR
Puerto Rico(6/11/2024)
RR
Rhode Island(6/11/2024)
RR
South Carolina(6/11/2024)
RR
South Dakota(6/11/2024)
RR
Tennessee(6/11/2024)
RR
Texas(6/11/2024)
RR
Utah(6/11/2024)
RR
Vermont(6/11/2024)
RR
Virgin Islands(6/11/2024)
RR
Virginia(6/11/2024)
RR
Washington(6/11/2024)
RR
West Virginia(6/11/2024)
RR
Wisconsin(6/11/2024)
RR
Wyoming(6/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/10/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/29/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
