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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JOSEPH MICHAEL KAUFMAN

Advisor at J.P. MORGAN SECURITIES LLC

Minneapolis, MN

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Search this name across graphsid dfx:ria:b9b90a6a-2716-b22d-bbd5-110d10a36df9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2004 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: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Apr 20, 2004
First registration: Apr 21, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4668441

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 21, 2024	n/a	yes	Minneapolis, MN	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 4, 2013	Jun 12, 2018	no	ST. PAUL, MN\|MINNEAPOLIS, MN\|ST. PAUL, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jan 27, 2011	no	STILLWATER, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 17, 2007	Jan 3, 2011	no	STILLWATER, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 21, 2004	Feb 24, 2006	no	WOODBURY, MN\|WOODBURY, MN	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	J.P. MORGAN SECURITIES LLC	Jun 12, 2018	Mar 21, 2024	2,109	Firm change after gap	Ibd to wirehouse
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 27, 2011	Jan 4, 2013	708	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 4, 2013 to Jun 12, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jan 27, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 17, 2007 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.