Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chad? Claim Your ProfileChad Kaufman is a financial advisor who has been working in the financial industry since 1995. Chad is currently registered with Raymond James Financial Services Advisors, Inc. as a Registered Representative and has been with the firm since February 2020. Before joining Raymond James, Chad worked for Morgan Stanley. Chad holds the Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65 licenses. Chad's specialties include: investment management for individuals and businesses, financial planning, and pension consulting.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
IN
03/02/2020 - Present
Raymond James Financial Services Advisors, Inc. (Indianapolis IN)
IN
06/01/2009 - 03/02/2020
MORGAN STANLEY (INDIANAPOLIS IN)
IN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (INDIANAPOLIS IN)
IN
10/30/2002 - 04/02/2007
MORGAN STANLEY DW INC. (INDIANAPOLIS IN)
NY
11/22/1995 - 11/12/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 05/17/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/14/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/21/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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