Charles James Kaufmann
Investment Adviser Representative at UBS Financial Services Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Charles James Kaufmann is an investment adviser representative with UBS Financial Services Inc. in Chicago, IL, where they have been registered since 2023. They have worked in the securities industry since 2021 and were previously registered with Fidelity Personal and Workplace Advisors. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Illinois.
Office
Advisors at this office: 74
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Illinois
- Broker:
28 states and territories
Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Montana, Nebraska, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Fidelity InvestmentsJun 2021 – Oct 2023Schaumburg, IL
- Northwestern MutualJun 2020 – Aug 2020Oak Brook, IL
- Downers Grove Park DistrictMay 2019 – Aug 2019Downers Grove, IL
- The Daily ScoopJun 2014 – Aug 2020Clarendon Hills, IL
- Activities and Recreation CenterSep 2019 – Apr 2021Champaign, IL
- UBS Financial Services Inc.Oct 2023 – no end date reportedChicago, IL
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UBS Financial Services Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 9,380
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Weehawken, NJ
- SEC file number:
- 801-7163
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 25, 2026
View full firm profileOther advisors at UBS Financial Services Inc.
Showing 12 of 9,380 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charles James Kaufmann has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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