Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Kauffman is a financial professional with over 25 years of experience in the industry. Brian is registered with Wells Fargo Clearing Services, LLC and specializes in a range of investment services including financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients. Brian has a strong understanding of the financial markets and a commitment to helping clients achieve their financial goals. Brian has been with Wells Fargo Clearing Services since 2000. Prior to joining Wells Fargo, Brian worked with First Union Brokerage Services, Inc. in Charlotte, NC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
10/01/2000 - Present
Wells Fargo Clearing Services, LLC (PLYMOUTH MEETING PA)
NC
09/26/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 09/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2011
Series 7 - General Securities Representative Examination
BC
Issued 09/25/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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