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Detailed Report
RAY FRANKLIN KAUFFMAN
CRD#: 1696779
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 E SOUTH ST
CHARLOTTESVILLE, VA 22902
Registration History
199019952000200520102015202020252 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1987 - 2008 (20 years)BSHERWOOD CAPITAL, INC. (CRD# 10474)1987 - 1987 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1989 - 2008 (18 years)
License(s)

State Registrations

B
California 9/28/2017
B
North Carolina 9/28/2017
B
Connecticut 9/28/2017
B
Pennsylvania 9/28/2017
B
Florida 9/28/2017
B
South Carolina 9/28/2017
B
Maryland 9/28/2017
B
Texas 12/16/2024
B
Massachusetts 7/12/2018
IA
Texas 12/16/2024
B
New Hampshire 9/28/2017
B
Virginia 9/28/2017
B
New Jersey 9/28/2017
IA
Virginia 9/28/2017

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
100 E SOUTH ST, CHARLOTTESVILLE, VA 22902
Registered with this firm since 9/28/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 E SOUTH ST, CHARLOTTESVILLE, VA 22902
Registered with this firm since 9/28/2017
Previous Registration(s)
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IA
 06/01/2009 - 10/02/2017 MORGAN STANLEY (CRD#:149777) CHARLOTTESVILLE, VA
B
 06/01/2009 - 10/02/2017 MORGAN STANLEY (CRD#:149777) CHARLOTTESVILLE, VA
IA
 08/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RICHMOND, VA
B
 08/22/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RICHMOND, VA
IA
 01/01/2008 - 09/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTESVILLE, VA
B
 01/01/2008 - 09/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHARLOTTESVILLE, VA
B
 09/30/1987 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CHARLOTTESVILLE, VA
IA
 06/23/1989 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CHARLOTTESVILLE, VA
B
 07/22/1987 - 08/20/1987 SHERWOOD CAPITAL, INC. (CRD#:10474)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.