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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Kaufman is an active financial advisor with over 40 years of experience in the industry. Steven Kaufman is registered with Morgan Stanley, a large firm, and has been with them since August 2019. Prior to that, Steven Kaufman was with Merrill Lynch, Pierce, Fenner & Smith Incorporated for 13 years, from August 2006 to August 2019. Steven Kaufman has passed a number of exams including Series 7, Series 31, Series 63, Series 65, Series 9, and Series 10. Steven Kaufman is registered in 26 states and is active in both the broker-dealer and investment advisor space.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
08/16/2019 - Present
Morgan Stanley (Fort Lauderdale FL)
FL
08/18/2006 - 08/19/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANTATION FL)
FL
08/02/1994 - 08/29/2006
CITIGROUP GLOBAL MARKETS INC. (HALLANDALE FL)
NY
07/03/1984 - 08/04/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/24/1982 - 07/19/1984
HALPERT, OBERST AND COMPANY
IA
Issued 04/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/06/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 11/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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