JK
Joel Kaufman
CITIZENS PRIVATE WEALTH
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 827154
JK
Professional summary
Joel Kaufman is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Short Hills, New Jersey and CITIZENS SECURITIES, INC. located in Wellington, Florida.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Joel has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CREDIT SHELTER TRUST U/W/O CHERYL R. KAUFMAN-INVESTING-1 HR. PER MONTH-OWNER.
CRS (Client Relationship Summary) - RIA
Click below to view Joel 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®
NoneExperience
Current
April 16, 2025 - Present
CITIZENS PRIVATE WEALTH
Office #1: 101 Jfk Parkway, Short Hills, NJ 07078RIA
CRD#: 106743
Short Hills, NJ
Current
April 16, 2025 - Present
CITIZENS SECURITIES, INC.
RIA
BD
CRD#: 39550
Wellington, FL
Current
April 16, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 6 Russell Street Ms: Ma606, Woburn, MA 01801RIA
BD
CRD#: 39550
Woburn, MA
Past
March 26, 2024 - April 17, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Morristown, NJ
Past
September 29, 2023 - April 17, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Morristown, NJ
Past
August 9, 2019 - March 21, 2025
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Paramus, NJ
Past
August 9, 2019 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Paramus, NJ
Past
May 31, 2007 - August 20, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PARAMUS, NJ
Past
May 31, 2007 - August 20, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PARAMUS, NJ
Past
April 2, 2007 - June 4, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PARAMUS, NJ
Past
April 2, 2007 - June 4, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PARAMUS, NJ
Past
June 20, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PARAMUS, NJ
Past
March 17, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PARAMUS, NJ
Past
February 4, 1994 - April 1, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 26, 1984 - February 24, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 18, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
August 11, 1978 - October 11, 1978
DRYSDALE SECURITIES CORPORATION
BD
CRD#: 1685
Past
September 15, 1976 - June 8, 1978
UMIC, INC.
BD
CRD#: 5974
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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)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.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(4/16/2025)
IAR
Alabama(4/16/2025)
RR
Alaska(4/16/2025)
IAR
Alaska(5/12/2025)
RR
Arizona(4/16/2025)
RR
Arkansas(4/16/2025)
IAR
Arkansas(4/23/2025)
RR
California(4/16/2025)
IAR
California(4/16/2025)
RR
Colorado(4/16/2025)
IAR
Colorado(4/21/2025)
RR
Connecticut(4/16/2025)
IAR
Connecticut(4/16/2025)
RR
Delaware(4/16/2025)
IAR
Delaware(4/19/2025)
RR
District of Columbia(4/16/2025)
RR
Florida(4/16/2025)
IAR
Florida(5/6/2025)
RR
Georgia(4/16/2025)
IAR
Georgia(4/17/2025)
RR
Idaho(4/16/2025)
IAR
Idaho(4/17/2025)
RR
Illinois(4/16/2025)
IAR
Illinois(6/9/2025)
IAR
Indiana(4/16/2025)
RR
Indiana(4/21/2025)
RR
Iowa(4/16/2025)
IAR
Iowa(4/18/2025)
RR
Kansas(4/16/2025)
IAR
Kansas(4/16/2025)
RR
Kentucky(4/16/2025)
IAR
Kentucky(4/18/2025)
RR
Louisiana(4/16/2025)
IAR
Louisiana(5/7/2025)
RR
Maine(4/16/2025)
IAR
Maine(4/16/2025)
RR
Maryland(4/16/2025)
IAR
Maryland(6/11/2025)
RR
Massachusetts(4/16/2025)
RR
Michigan(4/16/2025)
IAR
Michigan(4/18/2025)
RR
Minnesota(4/16/2025)
IAR
Minnesota(5/6/2025)
RR
Mississippi(4/16/2025)
IAR
Mississippi(4/24/2025)
RR
Missouri(4/16/2025)
RR
Montana(4/16/2025)
IAR
Montana(4/29/2025)
RR
Nebraska(4/16/2025)
IAR
Nebraska(4/16/2025)
RR
Nevada(4/16/2025)
IAR
Nevada(5/6/2025)
RR
New Hampshire(4/16/2025)
IAR
New Hampshire(4/22/2025)
RR
New Jersey(4/16/2025)
IAR
New Jersey(4/16/2025)
RR
New Mexico(4/16/2025)
IAR
New Mexico(4/25/2025)
RR
New York(4/16/2025)
IAR
New York(5/8/2025)
RR
North Carolina(4/16/2025)
IAR
North Carolina(5/14/2025)
RR
North Dakota(4/16/2025)
IAR
North Dakota(4/21/2025)
RR
Ohio(4/16/2025)
IAR
Ohio(4/16/2025)
RR
Oklahoma(4/16/2025)
IAR
Oklahoma(4/21/2025)
RR
Oregon(4/16/2025)
IAR
Oregon(4/17/2025)
RR
Pennsylvania(4/16/2025)
IAR
Pennsylvania(4/30/2025)
RR
Puerto Rico(4/16/2025)
IAR
Puerto Rico(5/5/2025)
RR
Rhode Island(4/16/2025)
IAR
Rhode Island(4/18/2025)
RR
South Carolina(4/16/2025)
IAR
South Carolina(5/8/2025)
RR
South Dakota(4/16/2025)
IAR
South Dakota(4/22/2025)
RR
Tennessee(4/16/2025)
RR
Texas(4/16/2025)
IAR
Texas(4/16/2025)
RR
Utah(4/16/2025)
RR
Vermont(4/16/2025)
IAR
Vermont(4/16/2025)
RR
Virginia(4/16/2025)
IAR
Virginia(5/8/2025)
RR
Washington(4/16/2025)
RR
West Virginia(4/16/2025)
IAR
West Virginia(4/18/2025)
RR
Wisconsin(4/16/2025)
IAR
Wisconsin(4/22/2025)
RR
Wyoming(4/16/2025)
IAR
Wyoming(4/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 10/16/1978
AMEX Put and Call ExamPrincipal/Supervisory Exam
RR
Series 40
Date: 9/13/1976
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
