Randall L Kaup

Current Employers

Employment History

• 06/2006 → Present
  Moorman, Harting & Company
  Coldwater, OH
• 06/2006 → 10/2019
  1St Global Capital Corp.
  Coldwater, OH
• 10/2007 → 10/2019
  1St Global Advisors, Inc.
  Coldwater, OH
• 09/2015 → 09/2025
  Avantax Insurance Services, Inc.
  Coldwater, OH
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Coldwater, OH
• 10/2019 → 09/2025
  Avantax Advisory Services
  Coldwater, OH
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Coldwater, OH
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Coldwater, OH
• 2007-10-25 → 2019-10-25
  1St Global Advisors Inc
  Coldwater, OH

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2006-10-16