Charles V. Haugh

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CRD#: 4549866

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

Are you a "fiduciary"?

Aliases

Charles Vincent Haugh

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) NAME OF ENTITY:FULL CIRCLE; No; 15995 SW 74TH AVE. STE 200; TIGARD; OR; 97224; NON-PROFIT ORGANIZATION; BOARD MEMBER; 4/1/2016; 2; 0; ATTEND MEETINGS;OFFERING FACILIATED PROGRAMS AIMED AT AT-RISK YOUTH. 2)NAME OF ENTITY:Haugh Financial, LLC; No; 9900 SW Greenburg Road #275; Tigard; OR; 97223; tax purposes only; owner; 11/1/2005; 1; 0; tax purposes only 3)NAME OF ENTITY:Portland Rotary; No; 619 SW 11TH STREET; PORTLAND; OR; 97205; community organization; member; 1/1/1995; 5; 5; occassionally organize or participate in community service projects 4)NAME OF ENTITY:MARTIN HAUGH FINANCIAL; Yes; 9900 SW Greenburg Road #275; Tigard; OR; 97223; FINANCIAL SERVICES/DBA; INVESTMENT ADVISER; 3/2/2015; 160; 160; SALE & SERVICE OF INSURANCE,SECURITIES AND INVESTMENT PRODUCTS|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 9900 SW Greenburg Road Ste. 275; Tigard; OR; 97223; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 9/11/2007; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 5)NAME OF ENTITY:CHARLES HAUGH-LIFE SETTLEMENTS; No; 9900 SW Greenburg Road #275; TIGARD; OR; 97223; LIFE SETTLEMENT PRODUCTS; INDEPENDENT AGENT; 10/8/2018; 10; 10; LIFE SETTLEMENT PRODUCTS| 6)NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 48325 VIA SOLANA, LA QUINTA, CA, 92263, NATURE OF BUSINESS: REAL ESTATE, START DATE: 11/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 3, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTING SINGLE FAMILY RESIDENCE;

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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

June 29, 2023 - July 24, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TIGARD, OR

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

TIGARD, OR

Past

June 9, 2021 - July 24, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

TIGARD, OR

Past

March 21, 2006 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TIGARD, OR

Past

March 15, 2006 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TIGARD, OR

Past

October 17, 2005 - March 7, 2006

FINANCIAL PLANNERS NORTHWEST, INC.

RIA

CRD#: 135563

PORTLAND, OR

Past

March 28, 2005 - February 15, 2006

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FAIRFIELD, IA

Past

April 24, 2003 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

PORTLAND, OR

Past

April 24, 2003 - February 15, 2006

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

October 4, 2002 - May 8, 2003

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

LAKE OSWEGO, OR

Past

July 9, 2002 - May 8, 2003

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2002

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Charles V. Haugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FINANCIAL PLANNERS NORTHWEST, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2002

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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