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BK

Beth Kaufman

Some features on this profile are disabled
CRD#: 6136613
BK

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.

Beth Kaufman, who also goes by Beth J Kaufman, Beth Joan Kaufman, was a registered financial professional .

Beth is a previously registered financial professional and started their career in finance in 2013. Beth had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Beth J Kaufman | Beth Joan 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.
The advisor shows no other business activity.

Blog Corner

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 11, 2025 - April 2, 2026

ALERA INVESTMENT ADVISORS, LLC

RIA
CRD#: 287906
Denver, CO
Past

May 16, 2024 - December 31, 2024

HEMINGTON WEALTH MANAGEMENT

RIA
CRD#: 169024
Denver, CO
Past

August 29, 2021 - December 31, 2022

HEMINGTON WEALTH MANAGEMENT

RIA
CRD#: 169024
Denver, CO
Past

July 1, 2021 - August 4, 2021

PFG ADVISORS

RIA
CRD#: 173344
Greenwood Village, CO
Past

December 11, 2017 - April 22, 2021

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
DEERFIELD, IL
Past

October 31, 2016 - July 10, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HIGHLAND PARK, IL
Past

August 12, 2016 - July 10, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HIGHLAND PARK, IL
Past

April 15, 2014 - August 12, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PARK RIDGE, IL
Past

March 10, 2014 - April 1, 2014

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

September 27, 2013 - February 17, 2014

BAKER TILLY CAPITAL, LLC

BD
CRD#: 115333
MILWAUKEE, WI
Past

January 25, 2013 - August 30, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
BARRINGTON, 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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES

CRD#: 287906 / SEC#: 801-111892

RIA
Registered Investment Advisory firm - (10/26/2017 Approved)

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
RR
IAR
Series 66
Date: 10/31/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/8/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/30/2017
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/8/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/15/2014
General Securities Sales Supervisor - Options Module Examination

Current Firm

AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES

CRD#: 287906 / SEC#: 801-111892

RIA
Registered Investment Advisory firm - (10/26/2017 Approved)
PREMIUM
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Contact information

Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts3,097
AUM (Assets Under Management)$ 3,572,112,624

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

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906

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