Fred Kauffman is a registered investment advisor, based in Charlotte, NC, with 20 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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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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Fred is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is not investment-related.
Employment History
Current Registrations
Vanguard Marketing Corporation
March 2025 - Present · 1 yr 2 mos
Vanguard Advisers, INC.
March 2025 - Present · 1 yr 2 mos
Vanguard Marketing CorporationBroker
March 2025 - Present · 1 yr 2 mos
Previous Registrations
Advice and Planning Services
January 2012 - December 2024 · 12 yrs 11 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
September 2006 - December 2024 · 18 yrs 3 mos
Morgan Stanley Dw INC.Broker
October 2004 - June 2006 · 1 yr 8 mos
State Registrations3 states
FLNCTX
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.