CR
Cary D. Rubman
CETERA INVESTMENT ADVISERS LLC
ENFIELD, CT 06082
Some features on this profile are disabled
CRD#: 1443551
CR
Professional summary
Cary Dwight Rubman, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Enfield, Connecticut and CETERA WEALTH SERVICES, LLC located in Enfield, Connecticut.
Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Cary has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 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) GE Capital~268 Hazard Ave~Enfield~CT~06082~Independent Insurance Agent~Insurance Sales Agent~12/1/2003~1hrs~1hrs~Long Term Care Insurance sales 2) American United Insurance~268 Hazard Ave~Enfield~CT~06082~Independent Insurance Agent~Insurance Sales Agent~1/1/2006~6hrs~6hrs~Life and Long-Term Care Insurance Sales 3) Connecticare Insurance Company~268 Hazard Ave~Enfield~CT~06082~Independent Insurance Agent~Insurance Sales Agent~7/1/2008~2hrs~2hrs~Health Insurance Sales 4) Innosure Insurance LLC~268 Hazard Ave~Enfield~CT~06082~Independent Insurance Agent~Partner/General Partner~7/1/2016~12hrs~6hrs~Business is a property & casualty agency. I am the CFO 5) Anthem Insurance~P.O. Box 7368~Columbus~GA~39108~Insurance Agent~Insurance Sales Agent~9/1/2014~2hrs~2hrs~Sell Health Insurance 6) Golden Rule~268 Hazard Ave~Enfield~CT~06082~Independent Insurance Agent~Insurance Sales Agent~12/1/2003~1hrs~1hrs~Independent Insurance Agent 7) OHIO NATIONAL LIFE INSURANCE COMPANY~268 Hazard Ave~ENFIELD~CT~06082~Independent Insurance Agent~Insurance Sales Agent~5/1/2012~4hrs~4hrs~FIXED PRODUCT INSURANCE SALES 8) United Healthcare~268 Hazard Ave~Enfield~CT~06082~Insurance Agent~Insurance Sales Agent~1/1/2017~2hrs~2hrs~Health Insurance Sales 9) Independent Insurance Agent~639 Enfield Street~Enfield~CT~06082~Independent Insurance Agent~Owner/Sole Proprietor~7/1/1999~10hrs~10hrs~Independent Insurance Agent 10) Merritt Insurance Services, INC.~639 Prospect Ave.~West Hartford~CT~06105~Independent Insurance Agent~Insurance Sales Agent~9/1/2014~1hrs~1hrs~Sell Health Insurance 11) PENN MUTUAL INSURANCE AGENT~268 HAZARD AVE~ENFIELD~CT~06082~Insurance Agent~Agent~11/20/2017~2hrs~1hrs~SALES OF LIFE INSURANCE WITH CRONIC CARE RIDER 12) INNOVEST FINANCIAL SERVICES INC; POSITION: Advisor NATURE: Tax Return Preparation, Financial Advice, Retirement Planning, Investment Planning INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2022 ADDRESS: 268 Hazard Ave, Enfield CT DESCRIPTION: Tax Return Preparation, Financial Advice, Retirement Planning, Investment Planning
CRS (Client Relationship Summary) - RIA
Click below to view Cary Dwight Rubman'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®
CFP®
Start date: 1992
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 268 Hazard Ave, Enfield, CT 06082RIA
CRD#: 105644
ENFIELD, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 268 Hazard Ave, Enfield, CT 06082BD
CRD#: 13572
Enfield, CT
Past
July 30, 1993 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Enfield, CT
Past
January 9, 1986 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Enfield, CT
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
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(10/6/2025)
RR
Indiana(9/5/2025)
RR
Kansas(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
