Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kaufmann is an investment advisor representative with Valic Financial Advisors, Inc. James has been in the industry since 1999. James has a Series 6, Series 7, and Series 63 license, as well as the SIE exam. James is registered with the following states: Colorado, Connecticut, Florida, Georgia, Maine, Maryland, Massachusetts, New Hampshire, New York, North Carolina, Ohio, Rhode Island, South Carolina, and Vermont. In addition to being an investment advisor representative, James is also an agent for AGIA.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Recommend wrap accounts to 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.
A percentage of the total value of assets under management is charged.
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2
NH
12/22/2011 - Present
Valic Financial Advisors, Inc. (NASHUA NH)
CT
01/03/2011 - 10/19/2011
ING FINANCIAL PARTNERS, INC. (WINDSOR CT)
CT
01/12/2007 - 01/03/2011
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
CT
07/30/2001 - 01/04/2007
TOWER SQUARE SECURITIES, INC. (HARTFORD CT)
CT
04/01/2006 - 12/08/2006
METLIFE INVESTORS DISTRIBUTION COMPANY (HARTFORD CT)
NY
12/13/2000 - 06/14/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
09/21/1998 - 08/21/2000
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
IA
Issued 11/28/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2008
Series 7 - General Securities Representative Examination
BC
Issued 09/17/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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