Mitchell Kauffman, financial advisor Pasadena CA

Mitchell Kauffman

CRD Number: 1064603
Current Firm: Stifel Independent Advisors, LLC

Mitchell Kauffman (CRD# 1064603) is an Investment Advisor Representative working at Stifel Independent Advisors, LLC in Pasadena, CA and has over 36 years of experience in the finance industry. Mitchell Kauffman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Stifel Independent Advisors, LLC Santa Barbara, CA Apr 2022 - Current < 1
University Of California At Santa Barbara Santa Barbara, CA Jan 2016 - Current 6
Wife's Psychology Practice Pasadena, CA Jul 2006 - Current 16
Wells Fargo Advisors Financial Network, LLC Padadena, CA Jan 2016 - Apr 2022 6
Registered Investment Advisor Pasadena, CA Jan 1989 - Apr 2022 33
Kauffman Wealth Services, Inc. Pasadena, CA Jul 2010 - Jan 2016 5
Raymond James Financial Advisors, Inc. Pasadena, CA Jan 2009 - Jan 2016 7
Anti Defamation League Santa Barbara, CA Sep 2006 - Jan 2013 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1986
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Mitchell E. Kauffman
Phone Number: 314-342-4051
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,561
    MILLIONS
  • Total Number of Accounts
    3,771
    ACCOUNTS
  • Average Account Value
    $413,902
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, WA, WI, WY

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