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CAROLYN KAUFMAN ARNOLD, CAROLYN CHAMBERS, CAROLYN C KAUFMAN
CRD#: 852490
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
RESPONDENT KAUFMAN FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION.
Resolution
LETTER
Bar
Bar (Permanent)
Registration Capacities Affected
All Capacities
Duration
Indefinite
Start Date
3/3/2014
Regulator Statement
PURSUANT TO FINRA RULE 9552(H) AND IN ACCORDANCE WITH FINRA'S INTENT TO SUSPEND AND NOTICE OF SUSPENSION LETTERS DATED NOVEMBER 26, 2013 AND JANUARY 8, 2014, RESPECTIVELY, ON MARCH 3, 2014 KAUFMAN IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. RESPONDENT FAILED TO REQUEST TERMINATION OF HIS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF INTENT TO SUSPEND; THEREFORE, SHE IS AUTOMATICALLY BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.
License(s)
The broker is not currently registered with any state or SRO.
Current Registration(s)
Previous Registration(s)
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Name
Location
IA
02/22/2006 - 05/24/2013
PRIM ADVISORS, INCORPORATED (CRD#:111686)
INDEPENDENCE, OH
IA
02/28/2000 - 09/12/2005
KAUFMAN & CO FINANCIAL PLANNING INC (CRD#:105238)
BEACHWOOD, OH
IA
04/02/2003 - 12/31/2004
PRIM ADVISORS, INCORPORATED (CRD#:111686)
CLEVELAND, OH
PRIM ADVISORS, INCORPORATED (CRD#:111686)
INDEPENDENCE, OH
02/22/2006 - 05/24/2013
KAUFMAN & CO FINANCIAL PLANNING INC (CRD#:105238)
BEACHWOOD, OH
02/28/2000 - 09/12/2005
PRIM ADVISORS, INCORPORATED (CRD#:111686)
CLEVELAND, OH
04/02/2003 - 12/31/2004
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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.
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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.