Susan Kaufman, financial advisor Tucson AZ
93 score

Susan Kaufman

CRD Number: 1019016
Current Firm: Nova Financial & Insurance Services

Susan Kaufman (CRD# 1019016) is an Investment Advisor Representative working at Nova Financial & Insurance Services in Tucson, AZ and has over 36 years of experience in the finance industry.

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Company Name Location Dates Years
Mutual Securities, Inc. Camarillo, CA Nov 2012 - Current 5
Wells Fargo Advisors LLC Tucson, AZ May 2009 - Nov 2012 3
Wachovia Securities, LLC Tucson, AZ Jan 2008 - May 2009 1
A.g. Edwards Tucson, AZ Aug 1998 - Jan 2008 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1981
S65 NASAA Investment Advisors Law Examination Jul 1992
Contact Info for Susan C. Kaufman
Phone Number: 520-745-5555
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    123
    MILLIONS
  • Total Number of Accounts
    1,202
    ACCOUNTS
  • Average Account Value
    $102,280
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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

AZ, CA, CO, IL, TX, WA

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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