William 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.
William Kaufman, who also goes by Bill Kaufman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 1 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
February 1, 2002 - June 24, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 8, 1997 - February 7, 2002
LPL FINANCIAL LLC
September 14, 1992 - April 10, 1997
JARON EQUITIES CORP.
March 3, 1992 - September 23, 1992
CAPITAL BROKERAGE CORPORATION
November 29, 1991 - March 2, 1992
CITICORP FINANCIAL SERVICES,INC.
March 9, 1990 - December 18, 1991
ROBERT THOMAS SECURITIES, INC
May 13, 1986 - March 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
July 10, 1985 - May 21, 1986
ROBERT S. SINN SECURITIES, INC.
June 17, 1985 - June 4, 1986
CARDELL & ASSOCIATES, INCORPORATED
May 24, 1985 - June 18, 1985
PARLIAMENT SECURITIES CORP.
August 3, 1984 - May 13, 1985
HAAS SECURITIES CORPORATION
January 19, 1984 - August 7, 1984
TRANSAMERICA CAPITAL, LLC
August 23, 1983 - January 27, 1984
THOMSON MCKINNON SECURITIES INC.
April 20, 1983 - August 16, 1983
MOSELEY SECURITIES CORPORATION
June 9, 1980 - August 3, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
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
Series 1
Date: 5/31/1980
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
