Charles James Kaufmann
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- UBS Financial Services Inc.Oct 2023 to now
- Fidelity InvestmentsJun 2021 to Oct 2023
- Northwestern MutualJun 2020 to Aug 2020
- Activities and Recreation CenterSep 2019 to Apr 2021
- Downers Grove Park DistrictMay 2019 to Aug 2019
- The Daily ScoopJun 2014 to Aug 2020
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 1 state (IL).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7241745
- Firm CRD
- 8174