Robert E. Kauffman
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.
Robert Ernest Kauffman, who also goes by Bob Kauffman, Robert E Kauffman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, 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
September 1, 2011 - December 22, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2002 - September 12, 2011
EQUITABLE ADVISORS, LLC
December 18, 2001 - June 20, 2024
FAITHWARD ADVISORS, LLC
February 1, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 1, 1990 - September 12, 2011
EQUITABLE ADVISORS, LLC
June 1, 1987 - February 5, 1990
KEOGLER, MORGAN & COMPANY, INC.
August 20, 1985 - June 11, 1987
FSC SECURITIES CORPORATION
November 3, 1976 - April 12, 1985
IDS LIFE INSURANCE COMPANY
November 3, 1976 - April 12, 1985
AMERICAN EXPRESS FINANCIAL 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/25/1976
Registered Representative ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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