Nicholas M. Kaufman

Warwick, NY 10990

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CRD#: 8117568

Professional summary

Nicholas Michael Kaufman, who also goes by Nick Kaufman, was a registered financial advisor .

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Nicholas had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Nick 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.

Business Ownership; Lucky Sevens Car Club; Co-owner; Non-commercial entity organized for recreational and social club activities; 1259 mulberry Dr, Mahwah, NJ, 07430; Not Investment-Related; 06/22/2026; 1 to 9 hours per month; 0 during trading hours.

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

Current

September 10, 2026 - Present

Office #1: 7 Wisner Rd, Warwick, NY 10990

Warwick, NY

Past

February 18, 2026 - September 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Montvale, NJ

Past

September 29, 2025 - September 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RYE BROOK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/10/2026)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 2/16/2026

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 9/29/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 6/20/2025

Securities Industry Essentials Examination

Current firm

No current employment

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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Nicholas M. Kaufman

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 2/16/2026

Series 7TO

Passed: 9/29/2025

SIE

Passed: 6/20/2025

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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