RK
Randall L. Kaup
CETERA INVESTMENT ADVISERS LLC
COLDWATER, OH 45828
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CRD#: 5173095
RK
Professional summary
Randall L Kaup is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Coldwater, Ohio and CETERA WEALTH SERVICES, LLC located in Coldwater, Ohio.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Randall has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
1) TASC-"AGRIPLAN-BIZPLAN", POSITION: PLAN ADMINISTRATOR NATURE: Agriplan/Bizplan INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2008 Address: DESCRIPTION: Sales of Agriplan/Bizplan 2) MOORMAN HARTING FINANCIAL SERVICES POSITION: OWNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2009 ADDRESS: Coldwater OH , United States DESCRIPTION: Provide financial services to clients. 3) MOORMAN HARTING PARTNERSHIP POSITION: PARTNER NATURE: LIFE INSURANCE HOLDING COMPANY INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2008 ADDRESS: Coldwater OH, United States DESCRIPTION: Life insurance holding company 4) MOORMAN, HARTING & COMPANY POSITION: CPA NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2006 DESCRIPTION: CPA firm 5) COLDWATER PARK BOARD POSITION: Board Member NATURE: Coldwater, Ohio has a municipal city park. I have been appointed to the park board to oversee activities and make decisions for the park. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: 610 W Sycamore St, Coldwater OH 45828, United States DESCRIPTION: I attend monthly park board meetings on the first Monday of each month. We discuss activities occurring at the park and approve future activities.
CRS (Client Relationship Summary) - RIA
Click below to view Randall L Kaup'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 815 West Main Street, Coldwater, OH 45828RIA
CRD#: 105644
COLDWATER, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 815 West Main Street, Coldwater, OH 45828BD
CRD#: 13572
COLDWATER, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
COLDWATER, OH
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
COLDWATER, OH
Past
October 25, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
COLDWATER, OH
Past
September 8, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
COLDWATER, OH
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
Indiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 11/18/2022 |
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.
