Glen E. Kauffman

CETERA INVESTMENT ADVISERS

HARRISONBURG, VA 22801

CRD#: 1364121

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Professional summary

Glen Emerson Kauffman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Harrisonburg, Virginia and CETERA WEALTH SERVICES, LLC located in Harrisonburg, Virginia.

Glen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Glen has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Emerson Kauffman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 205 A South Liberty Street, Harrisonburg, VA 22801

RIA

CRD#: 105644

HARRISONBURG, VA

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 841 Mt. Clinton Pike Suite A, Harrisonburg, VA 22802

CRD#: 13572

Harrisonburg, VA

Past

June 15, 2020 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Harrisonburg, VA

Past

December 1, 2019 - April 1, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Harrisonburg, VA

Past

March 7, 2007 - September 30, 2019

EVERENCE TRUST COMPANY

RIA

CRD#: 113179

HARRISONBURG, VA

Past

February 22, 2005 - March 1, 2007

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Harrisonburg, VA

Past

January 28, 2005 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Harrisonburg, VA

Past

January 6, 2004 - January 27, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

HARRISONBURG, VA

Past

January 6, 2004 - January 27, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 31, 2001 - December 31, 2002

PRAXIS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 105675

HARRISONBURG, VA

Past

August 8, 1997 - December 31, 2002

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

June 21, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 21, 1985 - August 26, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/20/2025)

California
(2/20/2025)

Delaware
(2/20/2025)

District of Columbia
(2/20/2025)

Florida
(2/20/2025)

Georgia
(2/20/2025)

Indiana
(2/20/2025)

Maryland
(2/20/2025)

Minnesota
(2/20/2025)

New York
(2/20/2025)

North Carolina
(2/20/2025)

North Dakota
(2/20/2025)

Ohio
(2/20/2025)

Oregon
(2/20/2025)

Pennsylvania
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Virginia
(2/20/2025)

IAR

Virginia
(2/20/2025)

West Virginia
(2/20/2025)

Wisconsin
(11/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/30/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/5/1991

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 11/4/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Glen E. Kauffman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Emerson Kauffman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

EVERENCE TRUST COMPANY

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PRAXIS INVESTMENT MANAGEMENT, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2004

Series 65

Date: 9/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2001

Series 6

Date: 8/7/1997

Series 22

Date: 11/4/1985

Series 24

Date: 6/1/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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