Charles V. Haugh
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.
Charles Vincent Haugh, who also goes by Charles VIncent Haugh, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - July 24, 2024
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - July 24, 2024
CETERA WEALTH SERVICES, LLC
March 21, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
March 15, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
October 17, 2005 - March 7, 2006
FINANCIAL PLANNERS NORTHWEST, INC.
March 28, 2005 - February 15, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 24, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 24, 2003 - February 15, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 4, 2002 - May 8, 2003
SIGNATOR INVESTORS, INC.
July 9, 2002 - May 8, 2003
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
