BK
CFP · ChFC
BK
CFP · ChFC

Ben Combs Kaufmann

47 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningHigh Net Worth
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
248 advisors
Number of Clients
22,917 clients
Average Client Portfolio
$330K average
Assets Under Management
$7.6B

Fee Structure

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Location

352 South Broadway, Lexington, KY, 40508

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History

Regulatory History
Clean regulatory record

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.

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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.
September 2009 - Present · 16 yrs 5 mos
Harbour Investments, INC.Broker
August 2009 - Present · 16 yrs 6 mos
Previous Registrations
Waterstone Financial Group, INC.
March 2003 - August 2009 · 6 yrs 5 mos
Waterstone Financial Group, INC.Broker
January 2003 - August 2009 · 6 yrs 7 mos
Spelman & CO., INC.Broker
July 1999 - January 2003 · 3 yrs 6 mos
Commonwealth Equity Services, INC.Broker
November 1995 - July 1999 · 3 yrs 8 mos
Hornor, Townsend & Kent, INC.Broker
January 1989 - December 1995 · 6 yrs 11 mos
Fsc Securities CorporationBroker
May 1986 - January 1989 · 2 yrs 8 mos
Chubb Securities CorporationBroker
October 1984 - May 1986 · 1 yr 7 mos
The O.N. Equity Sales CompanyBroker
November 1970 - June 1977 · 6 yrs 7 mos
State Registrations13 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.