Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gerard Kaufmann has been working in the financial services industry since March 15, 1992. James is currently registered with Avantax Advisory Services and holds a Series 6, 7 and 63 license as well as a Series 65 license. James specializes in financial planning, pension consulting, portfolio management for individuals and businesses, as well as educational seminars. James is also a registered representative with Avantax Investment Services, Inc. James has worked with numerous firms throughout his career, including NFP Securities, Inc., Ogilvie Security Advisors Corporation, Nathan & Lewis Securities, Inc., Prime Capital Services, Inc., Royal Alliance Associates, Inc., and John Hancock Distributors, Inc.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NY
10/10/2024 - Present
Avantax Advisory Services (ISLANDIA NY)
TX
09/30/2003 - 07/16/2004
NFP SECURITIES, INC. (AUSTIN TX)
IL
10/08/2001 - 10/08/2003
OGILVIE SECURITY ADVISORS CORPORATION (CHICAGO IL)
NY
11/18/1999 - 10/11/2001
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
01/13/1999 - 11/19/1999
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
AZ
03/11/1996 - 01/13/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MA
03/16/1992 - 03/13/1996
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
03/16/1992 - 03/13/1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 01/22/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/13/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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