Darren Michael Haupt

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/1998 → Present
  Reliastar United Services
  Arlington, VA
• 04/2002 → Present
  Haupt Insurance Services, Inc.
  Temecula, CA
• 11/1998 → Present
  Great American Life Insurance
  Vista, CA
• 05/2012 → Present
  Haupt Financial Group
  Temecula, CA
• 09/2014 → 06/2021
  Voya Financial Advisors
  Temecula, CA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-09-17 → 2021-06-09
  Voya Financial Advisors, Inc.
  Agoura Hills, CA
  San Marcos, CA
  San Marcos, CA
  Temecula, CA
  Windsor, CT

Other Businesses

NAME OF ENTITY:Haupt Financial Group; Yes; 28545 OLD TOWN FRONT ST STE 202; TEMECULA; CA; 92590; FINANCIAL SERVICES/DBA; Owner; 5/25/2012; 160; 160; SALE OF INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 28545 OLD TOWN FRONT ST STE 202; TEMECULA; CA; 92590; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/3/1999; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:Haupt Insurance Services, Inc; No; 30423 Canwood St. Suite #114; Agoura Hills; CA; 91301; Delegate for Representative Inspections,; VP of Registered Representative Services and Operations; 2/15/2019; 60; 30; Complete inspections of registered representatives, email retention, service and be a resource for registered representatives, hire and train new reps to the company.|

Exams

• S66 Uniform Combined State Law Examination
  2007-09-01
• S63 Uniform Securities Agent State Law Examination
  1999-02-10

Other Names

• Darren Haupt