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Ben Combs Kaufmann

Harbour Investments, Inc.

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About Ben Combs Kaufmann

Ben Combs Kaufmann has been in the financial services industry since April 1978. Ben is currently a Registered Representative with Harbour Investments, Inc. Ben has a wealth of experience and has held various positions with several firms over the years. Ben is a Certified Financial Planner and a Chartered Financial Consultant and holds Series 1, 7, and 63 licenses. Ben has been registered with the Securities and Exchange Commission (SEC) since 1970 and is currently registered with the Financial Industry Regulatory Authority (FINRA).

Firm Information

Ben Kaufmann is currently registered with Harbour Investments, Inc.. Harbour Investments, Inc. is a Corporation based in Madison, WI, formed in 1987 and approved by the SEC. With over 200 licensed agents and investment advisor representatives, the firm manages between $1 billion and $10 billion in assets for a wide range of clients, including individuals, high net worth individuals, corporations, insurance companies, charitable organizations, and pension plans. Harbour Investments, Inc. offers financial planning, portfolio management for individuals, and selection of other advisors. The firm is registered in all 50 states and the District of Columbia.
Harbour Investments, Inc.

575 D'ONOFRIO DRIVE

MADISON, WI 53719

$6.10B

Assets Under Management

3,206

Total Clients

274

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ben Kaufmann’s Registration & Firm History

KY

09/02/2009 - Present

Harbour Investments, Inc. (LEXINGTON KY)

KY

01/08/2003 - 08/27/2009

WATERSTONE FINANCIAL GROUP, INC. (LEXINGTON KY)

AZ

07/07/1999 - 01/13/2003

SPELMAN & CO., INC. (PHOENIX AZ)

MA

11/27/1995 - 07/09/1999

COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)

PA

01/05/1989 - 12/06/1995

HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)

NA

05/01/1986 - 01/30/1989

FSC SECURITIES CORPORATION

NA

10/30/1984 - 05/05/1986

CHUBB SECURITIES CORPORATION

NA

11/23/1970 - 06/06/1977

THE O.N. EQUITY SALES COMPANY

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Licenses & Designations

BC

Issued 02/05/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/1984

Series 7 - General Securities Representative Examination

BC

Issued 11/14/1970

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ben Combs Kaufmann.
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