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Current Employers
Arete Wealth Advisors, Llc

1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-10-25
  • IA RA
    APPROVED
    Since 2024-10-25

Branch Locations

6600 Westown Parkway Suite 190, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Des Moine IA 07/2009 11/2016
Principal Funds Distributor Des Moines IA 11/2016 06/2023
Arete Wealth Management Chicago IL 10/2024 Present
Unemployed Cambridge IA 07/2023 09/2024
Arete Wealth Advisors Chicago IL 10/2024 Present
  • 07/2009 → 11/2016
    Morgan Stanley Smith Barney
    Des Moine, IA
  • 11/2016 → 06/2023
    Principal Funds Distributor
    Des Moines, IA
  • 10/2024 → Present
    Arete Wealth Management
    Chicago, IL
  • 07/2023 → 09/2024
    Unemployed
    Cambridge, IA
  • 10/2024 → Present
    Arete Wealth Advisors
    Chicago, IL
Previous Registrations
Other Businesses

Insight Wealth Group, dba. Financial Analyst, 160 per month during trading hours. Start date: 10/2024.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-01
  • S66 Uniform Combined State Law Examination
    2010-03-01

View on SEC IAPD

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