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David Jay Kaufman

Investment Adviser Representative at FLAGSHIP HARBOR ADVISORS, LLC

Charlestown, MACRD #1526940Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
53 states
Exams Passed
9

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

David Jay Kaufman has worked in the securities industry since 1986. They are registered to provide investment advisory services in 53 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/30/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 9/12/1986
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/15/1987
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/28/1986
Series 4
Registered Options Principal Examination
Passed 6/24/2002
Series 53
Municipal Securities Principal Examination
Passed 4/8/2002
Series 24
General Securities Principal Examination
Passed 10/27/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Flagship Harbor Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LPL FINANCIAL LLCCurrent
12/17/2010Charlestown, MA
FLAGSHIP HARBOR ADVISORS, LLCCurrent
12/17/2010Boston, MA
LPL FINANCIAL LLC
2/19/20193/21/2019Boston, MA
AMERIPRISE FINANCIAL SERVICES, INC.
10/3/200612/20/2010Boston, MA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Jay Kaufman 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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David Jay Kaufman - Financial Advisor in Charlestown, MA | AdvisorFinder