Ben Kaufmann is a CFP, ChFC-designated registered investment advisor at Harbour Investments, INC., based in Lexington, KY, with 47 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 22,917 clients with $7.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Harbour Investments offers investment management through wrap-fee programs where fees are calculated as a percentage of the value of your portfolio, up to a maximum of 2.0%. The specific fee is negotiated with your advisor and subject to Harbour's approval. Fees may be waived for periods after a commission is generated. Accounts under $25,000 may have higher service fees. Harbour also offers a directly-managed held-away program where fees are assessed and billed quarterly.
Location
352 South Broadway, Lexington, KY, 40508
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Ben owns an independent insurance agency selling equity indexed annuities, dedicating about a quarter of his time during securities hours and a smaller amount of time after hours. Ben also owns Kaufmann Properties LLC (real estate management) and is a member of 525 Upper LLC (commercial rental), and serves as a director for the Bank of Hindman and on the board of UHAPS.
Employment History
Current Registrations
Harbour Investments, INC.
Harbour Investments, INC.Broker
Previous Registrations
Waterstone Financial Group, INC.
Waterstone Financial Group, INC.Broker
Spelman & CO., INC.Broker
Commonwealth Equity Services, INC.Broker
Hornor, Townsend & Kent, INC.Broker
Fsc Securities CorporationBroker
Chubb Securities CorporationBroker
The O.N. Equity Sales CompanyBroker
State Registrations13 states
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