Carolyn C. Kaufman
Professional summary
Carolyn Chambers Kaufman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carolyn is a previously registered financial advisor and started their career in finance in 1978. Prior to being barred, Carolyn had worked at 5 firms, which includes ACCOUNTING INVESTMENT SERVICES INC., KAUFMAN & CO FINANCIAL PLANNING INC, PRIM SECURITIES INCORPORATED, AMERICAN GENERAL SECURITIES INCORPORATED, ANCHOR NATIONAL FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2006 - May 24, 2013
ACCOUNTING INVESTMENT SERVICES, INC.
April 2, 2003 - December 31, 2004
ACCOUNTING INVESTMENT SERVICES, INC.
February 28, 2000 - September 12, 2005
KAUFMAN & CO FINANCIAL PLANNING INC
October 26, 1999 - May 31, 2013
PRIM SECURITIES, INCORPORATED
July 22, 1985 - October 29, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
June 25, 1985 - July 17, 1985
AMERICAN GENERAL SECURITIES INCORPORATED
May 23, 1978 - July 9, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 1
Date: 5/15/1978
Registered Representative ExaminationCurrent Firm
ACCOUNTING INVESTMENT SERVICES, INC.
CRD#: 111686 / SEC#: 801-55225
Contact information
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