Martin C. O'shaughnessy

CFG RETIREMENT

EDINA, MN 55435

Some features on this profile are disabled

CRD#: 7014969

Professional summary

Martin Charles O'shaughnessy, who also goes by Martin O'shaughnessy, Marty Charles O'shaughnessy, Martin Oshaughnessy, is a registered financial advisor currently at CFG RETIREMENT located in Edina, Minnesota.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Martin has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Martin O'shaughnessy | Marty Charles O'shaughnessy | Martin Oshaughnessy

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.

Sales of fixed insurance products, investment related, same address as branch, sales of insurance and fixed annuities, salesperson, start date 06/2024, 2 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Charles O'shaughnessy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 23, 2025 - Present

CFG RETIREMENT

Office #1: 4550 W 77th Street Suite #380, Edina, MN 55435

RIA

CRD#: 179516

EDINA, MN

Past

June 7, 2024 - December 19, 2024

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Minneapolis, MN

Past

August 4, 2023 - June 6, 2024

DAI WEALTH, LLC

RIA

CRD#: 138938

Mankato, MN

Past

July 17, 2023 - June 6, 2024

DAI SECURITIES, LLC

CRD#: 36673

MANKATO, MN

Past

June 5, 2019 - June 13, 2023

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Chicago, IL

Past

December 5, 2018 - June 13, 2023

ASSETMARK, INC.

RIA

CRD#: 109018

Chicago, IL

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".

CFG RETIREMENT

ASSURED RETIREMENT FINANCIAL GROUP, INC. | CFG RETIREMENT

CRD#: 179516 / SEC#: 801-129292

RIA

Registered Investment Advisory firm - (1/3/2024 Approved)

Minnesota

Registered Investment Advisory firm - (3/17/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(2/23/2025)

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

Series 63

Date: 9/3/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/5/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 6/5/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/4/2019

Securities Industry Essentials Examination

Current Firm

CFG RETIREMENT

ASSURED RETIREMENT FINANCIAL GROUP, INC. | CFG RETIREMENT

CRD#: 179516 / SEC#: 801-129292

RIA

Registered Investment Advisory firm - (1/3/2024 Approved)

Minnesota

Registered Investment Advisory firm - (3/17/2025 Terminated)

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

4550 W 77th Street Suite #380, Edina, MN 55435

Mailing Address

Phone number

(952) 657-7470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC (3/13/2025)

Regulatory assets under management

Total Number of Accounts	614
AUM (Assets Under Management)	$ 181,849,897

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Martin C. O'shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Charles O'shaughnessy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

DAI WEALTH, LLC

DAI SECURITIES, LLC

ASSETMARK BROKERAGE, LLC

ASSETMARK, INC.

Primary Firm SEC Registration

CFG RETIREMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 9/3/2019

Series 65

Date: 12/5/2018

Series 7TO

Date: 8/2/2023

Series 6TO

Date: 6/5/2019

SIE

Date: 3/4/2019

Current Firm

CFG RETIREMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CFG RETIREMENT

TRUST BUT VERIFY

Similar Advisors