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CHARLES JAMES KAUFMANN
CRD#: 7241745
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE NORTH WACKER DRIVE
STE 3300
CHICAGO, IL 60606
Registration History
2021202220232024202520262 FIRMS2023 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - 2023 (2 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2022 - 2023 (1 year)
License(s)

State Registrations

B
Arizona 6/25/2024

B
Nevada 1/25/2024

B
California 6/7/2024

B
New Jersey 1/25/2024

B
Colorado 8/8/2024

B
New York 1/25/2024

B
Connecticut 6/7/2024

B
North Carolina 1/25/2024

B
Delaware 7/18/2024

B
North Dakota 1/25/2024

B
Florida 6/10/2024

B
Ohio 1/25/2024

B
Illinois 11/6/2023

B
Oregon 1/30/2024

IA
Illinois 11/6/2023

B
Pennsylvania 1/30/2024

B
Indiana 6/25/2024

B
South Carolina 7/18/2024

B
Maryland 1/25/2024

B
Tennessee 1/30/2024

B
Massachusetts 1/25/2024

B
Texas 1/30/2024

B
Michigan 1/25/2024

B
Virginia 1/30/2024

B
Minnesota 1/25/2024

B
Washington 1/30/2024

B
Montana 1/25/2024

B
Wisconsin 1/30/2024

B
Nebraska 1/25/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 11/6/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
Chicago, IL
Registered with this firm since 11/6/2023

Previous Registration(s)
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IA
03/25/2022 - 10/31/2023 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) SCHAUMBURG, IL
B
10/05/2021 - 10/30/2023 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SCHAUMBURG, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.