CK
Christopher J. Kaufman
CETERA INVESTMENT ADVISERS LLC
CARLOCK, IL 61725
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CRD#: 5391356
CK
Professional summary
Christopher James Kaufman, who also goes by Chris Kaufman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Carlock, Illinois and CETERA WEALTH SERVICES, LLC located in Carlock, Illinois.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Kaufman
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) (dba) GRIEDER FINANCIAL SERVICES, INC.; Investment Related; 106 W. Douglas St., P.O. Box 159, Carlock IL 61725; Insurance and Investment Services; Financial Advisor/Part Owner; Start Date 08/2010; 110 hours per month with 85 hours per month during trading; Life, Health, Medicare Supplement, Long-Term Care, Disability, Supplemental benefits, and Fixed Annuities through brokerage relationships through Everence and other independent channels. >> 2) EVERENCE; Investment Related; 1110 N Main Street, Goshen, IN 46527; Insurance and Financial Services; Financial Advisor; Start Date 08/2007; 60 hours per month with 50 of those hours per month occurring during trading hours; I provide insurance (med-supp, fixed annuities, life insurance, long-term care insurance) services directly through Everence and also through brokerage arrangements. Products and services offered through Everence entities are independent of and are not guaranteed or endorsed by Concourse Financial Group or its affiliates. 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/2007; APX NUMBER OF HOURS PER WEEK: 6; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Kaufman'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: 106 W. Douglas Street, Carlock, IL 61725RIA
CRD#: 105644
CARLOCK, IL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 106 W. Douglas Street, Carlock, IL 61725BD
CRD#: 13572
Carlock, IL
Past
June 4, 2012 - September 30, 2019
EVERENCE TRUST COMPANY
RIA
CRD#: 113179
CARLOCK, IL
Past
July 2, 2009 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Carlock, IL
Past
August 6, 2007 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Carlock, IL
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
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(7/8/2025)
RR
Florida(2/20/2025)
RR
Illinois(2/20/2025)
IAR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Missouri(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(4/9/2025)
RR
Oklahoma(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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#: 105644Carlock, IL 61725TRUST BUT VERIFY
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