Individual Firm
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NATHAN ANDREW KAUFMAN
NATHAN A KAUFMAN
CRD#: 4573932
IA
B
CITIZENS SECURITIES, INC.CRD#: 39550 30159 DETROIT ROAD
MS: OHB648
WESTLAKE, OH 44145
MS: OHB648
WESTLAKE, OH 44145
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11/22/2013
Customer Dispute
Denied
State Registrations
B
Arizona 3/15/2018
IA
New Jersey 1/2/2020
IA
Arizona 3/19/2018
IA
North Carolina 5/19/2016
B
Florida 6/15/2011
B
North Carolina 5/23/2016
IA
Florida 8/17/2015
B
Ohio 11/11/2009
IA
Illinois 8/14/2015
IA
Ohio 11/12/2009
B
Illinois 4/28/2016
IA
Pennsylvania 8/14/2015
B
Kentucky 1/2/2024
B
Pennsylvania 8/21/2015
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Kentucky 1/2/2024
B
Tennessee 11/8/2017
B
Maine 5/18/2023
B
Texas 5/19/2016
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Maine 5/18/2023
IA
Texas 5/19/2016
B
Michigan 1/18/2022
B
Virginia 4/1/2015
IA
Michigan 1/18/2022
IA
Virginia 8/13/2015
B
New Jersey 1/2/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/12/2009
B
Registered with this firm since 11/11/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/11/2002 - 11/18/2009 | NORTH CANTON, OH | |
IA | 11/13/2009 - 11/16/2009 | EAST LIVERPOOL, OH | |
IA | 03/06/2007 - 11/13/2009 | NORTH CANTON, OH |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.