Charles Seth Kaufman

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2015-09-01
TX	RA	APPROVED	2014-08-04

SC RA
APPROVED

Since 2015-09-01
TX RA
APPROVED

Since 2014-08-04

Branch Locations

Indian Land, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles S. Kaufman & Assoc Inc.	Indian Land	SC	09/1990	Present
Cambridge Investment Research, Inc.	Fairfield	IA	11/2004	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2005	Present

09/1990 → Present

Charles S. Kaufman & Assoc Inc.

Indian Land, SC
11/2004 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
03/2005 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2005-03-28 → 2010-12-31

Cambridge Investment Research Advisors, Inc.

Malverne, NY

Other Businesses

1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) CPA, INDIAN LAND, SC, 01/1990. OWNER, BOOKKEEPING SERVICE. NIR-4/MO-2/TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-07-29
S63	Uniform Securities Agent State Law Examination	1996-08-19

S65 Uniform Investment Adviser Law Examination

2013-07-29
S63 Uniform Securities Agent State Law Examination

1996-08-19

Other Names

Charlie S Kaufman

View on SEC IAPD