linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Graham Edward Kauffman

Piper Sandler & Co.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Graham? Claim Your Profile

About Graham Edward Kauffman

Graham Edward Kauffman is a financial professional who has been in the industry since 2014. Graham has passed the Series 63, SIE, and Series 79 exams. Graham is currently registered with Piper Sandler & Co. in North Carolina, and has previous experience with Duff & Phelps Securities LLC.

Firm Information

Graham Kauffman is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

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.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

analytical reports/public finance consulting program

Analytical reports/public finance consulting program

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Graham Kauffman’s Registration & Firm History

NC

03/21/2016 - Present

Piper Sandler & Co. (CHARLOTTE NC)

NY

09/11/2014 - 03/18/2016

DUFF & PHELPS SECURITIES LLC (NEW YORK NY)

Not sure if Graham Edward Kauffman is right for you?

Licenses & Designations

BC

Issued 09/25/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2014

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Graham Edward Kauffman.
Not sure if Graham Edward Kauffman is right for you?