MC
Martin J. Carbaugh
CETERA INVESTMENT ADVISERS LLC
FORT WAYNE, IN 46825
Some features on this profile are disabled
CRD#: 4426200
MC
Professional summary
Martin J Carbaugh, who also goes by Martin John David Carbaugh, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Wayne, Indiana and CETERA WEALTH SERVICES, LLC located in Fort Wayne, Indiana.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Martin has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Martin John David Carbaugh
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.
(dba) FINANCIAL FOCUS; Investment Related; 10305 Dawson's Creek Blvd, Ste E, Fort Wayne IN 46825; Insurance/Annuity Sales; Agent; Start Date 06/2018; 2 hour per month with all hours occurring during trading hours; Insurance product sales and services. >> HEARTLAND HEALTH INSURANCE ADVISORS, LLC; Non-investment Related; Fort Wayne IN; Health Insurance Sales; President/Agent; Start Date 04/30/2017; 100 hours per month with 100 hours per month occurring during trading; Sales and service of health insurance products. >> HEARTLAND INSURANCE PARTNERS; Non-investment related; 10305 Dawson's Creek Blvd, Ste E, Fort Wayne IN 46825; Property & Casualty Insurance; Agent; Start Date 05/2018; 120 hours per month with 80 hours per month during trading hours; I am an independent agent with a local P&C firm and sell P&C insurance for multiple carriers. >> STATE OF INDIANA STATE REPRESENTATIVE: Non-investment related; 200 W Washington Blvd, Indianapolis IN 46204; Government/Politics; State Representative; Start Date 11/2012; 20 hours per month with 10 hours per month occurring during trading hours; Representing the citizens of Indiana's 81st House District by casting votes in the Indiana General Assembly. I am an elected state representative. When in session I am in Indianapolis Monday-Thursday; Friday-Sunday I work from home. >> INSURANCE; Non-Investment Related; Ft Wayne, IN; Insurance; Agent; Start Date 05/2018; 5 hours per month with those 5 hours per month occurring during trading hours; Sell and service of medicare supplement insurance. >>
CRS (Client Relationship Summary) - RIA
Click below to view Martin J Carbaugh'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: 10305 Dawson's Creek Blvd. Suite E, Fort Wayne, IN 46825RIA
CRD#: 105644
FORT WAYNE, IN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10305 Dawson's Creek Blvd. Suite E, Fort Wayne, IN 46825BD
CRD#: 13572
Fort Wayne, IN
Past
June 19, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Fort Wayne, IN
Past
June 19, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Fort Wayne, IN
Past
June 16, 2015 - June 19, 2018
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
FORT WAYNE, IN
Past
October 4, 2013 - June 19, 2018
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
FORT WAYNE, IN
Past
March 4, 2011 - September 9, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FORT WAYNE, IN
Past
July 18, 2007 - February 28, 2011
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
FORT WAYNE, IN
Past
July 30, 2004 - July 2, 2007
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
FORT WAYNE, IN
Past
November 9, 2001 - July 7, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Florida(2/20/2025)
RR
Indiana(2/20/2025)
IAR
Indiana(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/6/2019
General Securities Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Fort Wayne, IN 46825TRUST BUT VERIFY
Monitor Martin Carbaugh
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
