GK
Glen E. Kauffman
CETERA INVESTMENT ADVISERS
HARRISONBURG, VA 22801
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CRD#: 1364121
GK
Glen Emerson KauffmanCETERA INVESTMENT ADVISERS
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.
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.
1) NAME OF OTHER BUSINESS: EVERENCE SERVICES DBA EVERENCE TRUST COMPANY OR EVERENCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TRUST, FINANCIAL AND INSURANCE SERVICES START DATE: 02/2005 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDE INSURANCE, INVESTMENT AND FINANCIAL PLANNING SERVICES THROUGH EVERENCE TRUST COMPANY (A FEDERALLY CHARTERED SAVINGS BANK) AND CHARITABLE PLANNING SERVICES THROUGH EVERENCE FOUNDATION. 2) LANDLORD; Non-Investment Related; Rental Property; Owner; Start Date 01/1991; 2 hours per month; Collect rent and make minor repairs. >> 3) RENTAL REAL ESTATE; Non-Investment Related; Harrisonburg, VA; Residential Rental; Landlord; Start Date 07/2009; 1 hour per month with no hours during trading hours; Collect rent, do minor repairs and select tenants to which to lease the property. >> 4) AIRBNB; Non-Investment Related; Mineral, VA 23117; Real Estate; Landlord; Start Date 07/2022; No hours per month; Investor in a short-term Airbnb rental property that is co-owned and managed by my son - I have no active role, I am simply an investor in the property. >> 5) 3230 ENTERPRISES LLC; Investment Related; Harrisonburg, VA; Rental Property; Owner; Start Date 06/2021; 2 hours per month with no hours per month occurring during trading hours; Collect rent, perform routine maintenance, and maintain records. 6) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/1997; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 7) NAME OF OTHER BUSINESS: GLANDY NORTH LLC INVESTMENT RELATED: NO ADDRESS: 2143 LAKE TERRACE DRIVE HARRISONBURG VA 22802 NATURE OF BUSINESS: PERSONAL RENTAL REAL ESTATE START DATE: 5.2025 POSITION/TITLE/RELATIONSHIP: OWNER/ MANAGING DIRECTOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGING PERSONAL RENTAL REAL ESTATE
CRS (Client Relationship Summary) - RIA
Click below to view Glen Emerson Kauffman's 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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 205 A South Liberty Street, Harrisonburg, VA 22801RIA
CRD#: 105644
HARRISONBURG, VA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 841 Mt. Clinton Pike Suite A, Harrisonburg, VA 22802BD
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.
BD
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.
BD
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.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
June 21, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
June 21, 1985 - August 26, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Indiana(2/20/2025)
RR
Maryland(2/20/2025)
RR
Minnesota(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(2/20/2025)
IAR
Virginia(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wisconsin(11/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Loading...
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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Harrisonburg, VA 22801TRUST BUT VERIFY
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