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Marlo Jay Kauffman

CRD# 2432286·Registered 1994 - 2017
Previously Registered: Being a previously registered professional could mean that Marlo is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Marlo Jay Kauffman was a registered financial advisor. Marlo was a previously registered financial professional and started their career in finance 1994 - 2017. Marlo had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

EVERENCE SECURITIES, INC.·CRD# 128158
BD
Goshen, IN
February 5, 2004 - August 11, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
RIA
Goshen, IN
February 12, 2003 - July 21, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
BD
Goshen, IN
January 17, 1994 - July 21, 2022

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Current Firm

ES
EVERENCE SECURITIES, INC.

EVERENCE SECURITIES, INC. | MMA SECURITIES, INC.

CRD#: 128158 / SEC#: 8-66095
BD
Terminated by SEC on 09/01/2017

Contact Information

Established

Indiana since 05/16/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
EVERENCE HOLDINGS, INC.SHAREHOLDER—
CULP, EUNICE SARAHDIRECTOR4698923
FISHER, KERRI DEANNESEC/TREAS5101394
HERTZLER, JULIE LYNNDIRECTOR6440545
KAUFFMAN, MARLO JAYPRESIDENT/CHIEF COMPLIANCE OFFICER2432286
KAUFMAN, STEVEN RDIRECTOR—
KILMER, DEBORAH MARIEVICE PRESIDENT5733208

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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.

(dba) EVERENCE; 1110 N Main Street, Goshen, IN 46526; Financial Services; VP Financial Services Operations/Assistant Secretary; Start Date 01/1981; 140 hours per month with all hours per month occurring during trading hours; Direct operations for Everence fixed annuities, church pension plan, retirement services, and brokered product operations. I serve as assistant secretary for the following Everence entities: Everence Association Inc., Everence Foundation Inc., Mennonite Church Buildings Inc., Everence Capital Management Inc., Everence Holdings Inc., Everence Insurance Company, Everence Real Estate Holdings Inc., Everence Services LLC, Mennonite Retirement Trust Church Benefits Board, MMA Distribution, Inc.; As assistant secretary, I do not have access to or control over any of the funds of these organizations (checking accounts, petty cash, etc..).// PRAXIS MUTUAL FUNDS; Investment Related; 1110 N Main Street, Goshen, IN 46526; Mutual Fund Investments; VP/Secretary; Start Date 01/1994; 40 hours per month with those 40 hours occurring during trading hours; Operations liaison with transfer agent.//SUCCESSOR EXECUTOR; Non-Investment Related; Goshen, IN 46526; Successor Executor for my father's estate; Start Date 08/2020; 4 hours per month; My sister is the named executor in my father's will - I am the successor executor in the event that she declines to serve in that role. // POWER OF ATTORNEY (POA); Non-Investment Related; Goshen, IN; POA; Co-POA; Start Date 08/2020; 1 hour per month with no hours per month during trading hours; My sister and I are Powers of Attorney for my mother.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2001About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1994About the Series 6 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Mar 2003About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Dec 2001About the Series 24 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Mar 1994About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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