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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

STEPHEN JAY KAUFMAN

Advisor at VANDERBILT ADVISORY SERVICES

FREEHOLD, NJ | WOODBURY, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 23, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANDERBILT ADVISORY SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 30, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 30, 1993
First registration: May 23, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2386637

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANDERBILT ADVISORY SERVICES	Bd affiliated wealth	Sep 22, 2016	n/a	yes	FREEHOLD, NJ\|WOODBURY, NY	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 24, 2011	Aug 10, 2016	no	FREEHOLD, NJ\|FREEHOLD, NJ\|SAN DIEGO, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 12, 2009	Jan 25, 2011	no	FREEHOLD, NJ	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 2, 2005	Jan 12, 2009	no	FREEHOLD, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 23, 2002	Feb 23, 2005	no	MANALAPAN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	VANDERBILT ADVISORY SERVICES	Aug 10, 2016	Sep 22, 2016	43	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Jan 25, 2011	Jan 24, 2011	-1	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 12, 2009	Jan 12, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Feb 23, 2005	Jun 2, 2005	99	Firm change	Other

Relationships

Registered with (5)

→ VANDERBILT ADVISORY SERVICESRegistered adviserregistration: current employment
Sep 22, 2016 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 24, 2011 to Aug 10, 2016factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 12, 2009 to Jan 25, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 2, 2005 to Jan 12, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 23, 2002 to Feb 23, 2005factForm ADV

Dated events

No dated event names this entity yet.