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MK

Marlo J. Kauffman

Some features on this profile are disabled
CRD#: 2432286
MK

Professional summary

Being a previously registered professional could mean that this person 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.

Marlo Jay Kauffman was a registered financial professional .

Marlo is a previously registered financial professional and started their career in finance in 1994. 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.

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Question & Answer

Are you a "fiduciary"?
No

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.
(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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CRS (Client Relationship Summary)

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

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

Past

February 5, 2004 - August 11, 2017

EVERENCE SECURITIES, INC.

BD
CRD#: 128158
GOSHEN, IN
Past

February 12, 2003 - July 21, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
GOSHEN, IN
Past

January 17, 1994 - July 21, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
GOSHEN, IN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/24/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/1/1994
Investment Company Products/Variable Contracts Principal Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 05/16/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

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

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.

Company Information

EVERENCE SECURITIES, INC.

CRD#: 128158

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