MK
Moss J. Kaufman
INDEPENDENT FINANCIAL GROUP
Commack, NY 11725
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CRD#: 733724
MK
Professional summary
Moss Joseph Kaufman, CFP®, who also goes by Moss J Kaufman, is a registered financial professional currently at INDEPENDENT FINANCIAL GROUP, LLC located in Commack, New York.
Moss is registered as a RR (Registered Representative) and started their career in finance in 1981. Moss has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Moss J Kaufman
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.
(1) MOSS J KAUFMAN POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2020 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Sale of fixed insurance products (2) THE PROFESSION ALLIANCE POSITION: Officer/Director NATURE: Other: Networking INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2020 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Education/networking events (3) KAUFMAN PLANNING ASSOCIATE POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping INVESTMENT RELATED: No NUMBER OF HOURS: 20 - 40 HOURS/MONTH SECURITIES TRADING HOURS: 6 START DATE: 01/02/1992 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: Provide tax prep services and files approximately 300 returns/year. (4) NETWORK INVESTMENT ADVISORS POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2020 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: 100% owner of SEC registered investment advisor (5) TRUSTEE POSITION: Independent Contractor NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 6 START DATE: 10/26/2020 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: CO-TRUSTEE (6) MOSS KAUFMAN POSITION: Tax Preparer. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 353 Veterans Hwy, Ste. 210, Commack NY 11725, United States DESCRIPTION: My client, Carol Goodman is the executrix of her life partner Clifford Bedford estate. One of the estates assets is a CPA practice. Carol asked us to guide and assist her in servicing the tax clients.
CRS (Client Relationship Summary) - BD
Click below to view Moss Joseph Kaufman'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®
CFP®
Start date: 1994
Experience
Current
January 2, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 353 Veterans Hwy Ste. 210, Commack, NY 11725RIA
BD
CRD#: 7717
Commack, NY
Past
April 5, 2022 - December 31, 2024
NETWORK INVESTMENT ADVISORS INCORPORATED
RIA
CRD#: 290927
COMMACK, NY
Past
January 1, 2019 - December 31, 2020
NETWORK INVESTMENT ADVISORS INCORPORATED
RIA
CRD#: 290927
COMMACK, NY
Past
July 25, 1989 - December 26, 2019
INVESTACORP, INC.
BD
CRD#: 7684
COMMACK, NY
Past
November 30, 1987 - July 29, 1989
VANDERBILT SECURITIES, INC.
BD
CRD#: 14280
Past
October 9, 1985 - December 7, 1987
INVESTORS CENTER, INC.
BD
CRD#: 14670
Past
June 26, 1981 - December 3, 1984
EQUITY SERVICES, INC.
BD
CRD#: 265
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(1/2/2020)
RR
California(1/2/2020)
RR
Connecticut(1/2/2020)
RR
Florida(1/2/2020)
RR
Georgia(1/2/2020)
RR
Hawaii(1/2/2020)
RR
Illinois(1/2/2020)
RR
Maryland(1/2/2020)
RR
Massachusetts(1/2/2020)
RR
Nevada(1/2/2020)
RR
New Hampshire(10/13/2021)
RR
New Jersey(1/2/2020)
RR
New York(1/2/2020)
RR
North Carolina(1/2/2020)
RR
Pennsylvania(1/2/2020)
RR
Tennessee(1/2/2020)
RR
Texas(1/2/2020)
RR
Virginia(1/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Commack, NY 11725TRUST BUT VERIFY
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