Ben Kaufmann
Ben Kaufmann is a CFP, ChFC-designated registered investment advisor at Harbour Investments, INC., based in Lexington, KY, with 48 years of industry experience. Ben is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 30,309 clients with $9.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Maximum management fee is 2.0% of assets under management. Fees are negotiated between the client and representative. Third-party manager programs range from 0.25% to 2.50% total annual fees.
Fee Estimator
Location
352 South Broadway, Lexington, KY, 40508
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Ben owns an independent insurance agency selling equity indexed annuities, dedicating about a quarter of his time during securities hours and a smaller amount of time after hours. Ben also owns Kaufmann Properties LLC (real estate management) and is a member of 525 Upper LLC (commercial rental), and serves as a director for the Bank of Hindman and on the board of UHAPS.
Employment History
Current Registrations
Harbour Investments, INC.
Harbour Investments, INC.Broker
Previous Registrations
Waterstone Financial Group, INC.
Waterstone Financial Group, INC.Broker
Spelman & CO., INC.Broker
Commonwealth Equity Services, INC.Broker
Hornor, Townsend & Kent, INC.Broker
Fsc Securities CorporationBroker
Chubb Securities CorporationBroker
The O.N. Equity Sales CompanyBroker
State Registrations13 states
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
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