Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth John Kaufmann is a financial advisor with over 30 years of experience in the financial services industry. Kenneth has worked with clients to help them meet their financial goals through a variety of investment strategies. Kenneth is currently registered with Wells Fargo Clearing Services, LLC. Previously, Kenneth was registered with First Clearing, LLC, Horace Mann Investors Inc, A. G. Edwards & Sons, Inc., Wells Fargo Investments, LLC, RBC Dain Rauscher Inc, Kirkpatrick, Pettis, Smith, Polian Inc, FFG Investments Inc, Ameritrade, Inc, Market Street Securities, Inc, Boatmen's Investment Services, Inc, Mercantile Investment Services, Inc and Edward D. Jones & Co., L.P. Kenneth holds several licenses and certifications, including Series 3, 4, 7, 9, 10, 24, 52, 53, 63, and 66. Kenneth specializes in working with individuals, businesses, corporations, and charitable organizations.
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
MO
09/11/2013 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
10/14/2008 - 11/17/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
IL
06/14/2007 - 07/09/2008
HORACE MANN INVESTORS INC (SPRINGFIELD IL)
MO
11/05/2004 - 05/17/2007
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
CA
05/28/2002 - 11/02/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
03/29/1999 - 06/07/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NE
05/21/1997 - 02/19/1999
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
NA
05/10/1995 - 05/07/1997
FFG INVESTMENTS INC.
NE
08/04/1995 - 12/31/1995
AMERITRADE, INC. (OMAHA NE)
NA
11/21/1994 - 04/17/1995
MARKET STREET SECURITIES, INC.
MO
04/11/1994 - 04/17/1995
BOATMEN'S INVESTMENT SERVICES, INC. (ST. LOUIS MO)
MO
09/27/1990 - 04/12/1994
MERCANTILE INVESTMENT SERVICES, INC. (ST. LOUIS MO)
MO
10/23/1985 - 09/21/1990
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
BOTH
Issued 09/21/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/24/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/19/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/26/1993
Series 24 - General Securities Principal Examination
BC
Issued 04/15/1991
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2006
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1985
Series 7 - General Securities 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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