SK
SK
Steven Kaufman
43 Years of Experience
Fort Lauderdale, FL
2 DisclosuresBroker
Steven Kaufman is a registered investment advisor at Morgan Stanley, based in Fort Lauderdale, FL, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
350 East Las Olas Boulevard, Suite 1500, Fort Lauderdale, FL, 33301
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2012Denied
Customer Dispute
December 2007Denied
Other Business Activities
Steven owns a vacation rental home called Lakehouse in Lake Placid, Florida. He spends minimal time on this activity, which is not investment-related.
Employment History
Current Registrations
Morgan StanleyBroker
August 2019 - Present · 6 yrs 9 mos
Morgan Stanley
August 2019 - Present · 6 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2006 - August 2019 · 13 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2006 - August 2019 · 13 yrs
Citigroup Global Markets INC.Broker
August 1994 - August 2006 · 12 yrs
Citigroup Global Markets INC.
August 1994 - August 2006 · 12 yrs
Prudential Securities IncorporatedBroker
July 1984 - August 1994 · 10 yrs 1 mo
Halpert, Oberst and CompanyBroker
November 1982 - July 1984 · 1 yr 8 mos
State Registrations23 states
CACOCTDCDEFLGAKSMAMIMONCNDNHNJNVNYOHPASCTXUTVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.