Stephen Jay Kaufman

Employer firm

Vanderbilt Advisory Services CRD 116537

$2.11B regulatory AUM 64 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2005 → Present
  Quality Financial Concepts, Llc
  Freehold, NJ
• 08/2016 → Present
  Vanderbilt Securities, Llc
  Woodbury, NY
• 08/2016 → Present
  Vanderbilt Advisory Services
  Woodbury, NY

Previous Registrations

• 2011-01-24 → 2016-08-10
  Lpl Financial Llc
  Freehold, NJ
  Freehold, NJ
  San Diego, CA
• 2009-01-12 → 2011-01-25
  Raymond James Financial Services Advisors, Inc
  Freehold, NJ
• 2005-06-02 → 2009-01-12
  Raymond James Financial Services, Inc.
  Freehold, NJ
• 2002-05-23 → 2005-02-23
  Ubs Financial Services Inc.
  Manalapan, NJ

Other Businesses

1. QUALITY FINANCIAL CONCEPTS, INC. Investment related. Start date: 02/01/2005. Address: 7 Barbour Ct Old Bridge NJ, 08857 Title: Founder and President. Duties: (Tax Services) All functions associated with an investment adviser representative. Time spent during regular hours: 100% 2. 3/1/2024 - Tax Preparation: Not investment related Time spent during market hours: 10%

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-11
• S63 Uniform Securities Agent State Law Examination
  1993-09-30