Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Kauffmann is a financial advisor with UBS Financial Services Inc. located in NEW YORK, NY. Todd has been in the industry since 1993 and has worked at several firms including MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., D. H. BLAIR & CO., INC., and PAINEWEBBER INCORPORATED. Todd holds several licenses, including Series 3, 7, 31, and 63. Todd specializes in providing financial planning services, portfolio management for individuals and businesses, and pension consulting.
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.
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.
See schedule d - miscellaneous
1
2
NY
07/25/2011 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 06/29/2011
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
02/03/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/23/1999 - 02/06/2006
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
01/30/1995 - 07/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/26/1994 - 02/23/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/26/1990 - 01/29/1991
D. H. BLAIR & CO., INC. (NEW YORK NY)
NJ
09/19/1989 - 07/31/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 10/12/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2000
Series 3 - National Commodity Futures Examination
BC
Issued 02/28/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 09/22/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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