AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TK

Thomas A. Kaufmann

Some features on this profile are disabled
CRD#: 712714
TK

Professional summary

Thomas Arthur Kaufmann was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Thomas had worked at 6 firms, which includes SPENCER EDWARDS INC., GLOBAL CAPITAL SECURITIES CORPORATION, R.B. MARICH INC., NIELSON AND CLARK INC., WALFORD DEMARET & CO. INC., PRESTIGE INVESTORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Kaufmann

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

November 17, 1993 - February 29, 2008

SPENCER EDWARDS, INC.

BD
CRD#: 22067
ENGLEWOOD, CO
Past

October 25, 1990 - November 8, 1993

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

March 3, 1985 - October 17, 1990

R.B. MARICH, INC.

BD
CRD#: 13227
Past

August 14, 1984 - February 19, 1985

NIELSON AND CLARK INC.

BD
CRD#: 13508
Past

October 22, 1982 - August 10, 1984

WALFORD, DEMARET & CO., INC.

BD
CRD#: 7985
Past

March 8, 1982 - November 24, 1982

PRESTIGE INVESTORS, INC.

BD
CRD#: 10300
Past

July 28, 1980 - February 14, 1982

WALFORD, DEMARET & CO., INC.

BD
CRD#: 7985

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/10/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/1983
General Securities Principal Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

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

SPENCER EDWARDS, INC.

CRD#: 22067

TRUST BUT VERIFY

Monitor Thomas Kaufmann

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics