Glen T. Kauffman
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.
Glen T Kauffman, who also goes by Glen Thomas Kauffman, was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 2008. Glen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2017 - September 18, 2017
TCFG INVESTMENT ADVISORS, LLC
April 7, 2017 - September 18, 2017
TCFG WEALTH MANAGEMENT, LLC
January 21, 2015 - December 31, 2016
SHOPOFF SECURITIES, INC.
December 19, 2014 - April 18, 2017
COMPOUND PLANNING, INC.
April 4, 2014 - January 12, 2015
COURTLANDT SECURITIES CORPORATION
December 24, 2008 - March 5, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TCFG INVESTMENT ADVISORS, LLC
CRD#: 166606 / SEC#: 801-77596
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,344 |
| AUM (Assets Under Management) | $ 575,111,609 |
Red Flags
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