Harry M. Carbaugh
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.
Harry Montgomery Carbaugh, who also goes by Harry Montgomery Carbaugh IV, Harry Carbaugh, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 2005. Harry had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, 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
April 6, 2022 - October 10, 2022
ARETE WEALTH MANAGEMENT, LLC
March 25, 2022 - October 11, 2022
ARETE WEALTH ADVISORS, LLC
December 1, 2021 - February 10, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2016 - May 31, 2019
FORESTERS ADVISORY SERVICES, LLC
September 16, 2016 - May 31, 2019
FORESTERS FINANCIAL SERVICES, INC.
April 1, 2014 - January 25, 2016
BLACKROCK INVESTMENT MANAGEMENT, LLC
March 27, 2014 - January 25, 2016
BLACKROCK INVESTMENTS, LLC
August 13, 2013 - April 9, 2014
EQUINOX FUND MANAGEMENT, LLC
September 20, 2011 - March 24, 2014
TRIVE NEW YORK LLC
June 1, 2009 - September 7, 2011
MORGAN STANLEY
June 1, 2009 - September 7, 2011
MORGAN STANLEY
March 20, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 10, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 15, 2006 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2006 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2005 - January 5, 2006
AVALON PARTNERS, INC.
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
Series 7TO
Date: 12/1/2021
General Securities Representative ExaminationCurrent Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
