Jeffrey H. Kaufman
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.
Jeffrey Hal Kaufman, who also goes by Jeffrey H Kaufman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1979. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 52 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
January 28, 2013 - August 17, 2017
GRIFFIN SECURITIES, INC.
November 22, 2011 - November 7, 2012
EARLYBIRDCAPITAL, INC.
April 3, 2009 - November 22, 2011
MORGAN JOSEPH TRIARTISAN LLC
October 2, 2000 - March 27, 2009
KAUFMAN BROS., L.P.
January 14, 1992 - August 4, 2000
MONNESS CRESPI HARDT & CO., INC.
April 30, 1984 - December 13, 1991
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
November 3, 1982 - May 11, 1984
JEFFERIES LLC
November 14, 1979 - October 6, 1982
CIBC WORLD MARKETS CORP.
April 9, 1979 - July 19, 1980
DAVID LERNER ASSOCIATES, INC.
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
Current Firm
GRIFFIN SECURITIES, INC.
CRD#: 43229 / SEC#: , 8-50186
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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