Carol W. Eejima
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.
Carol Watanabe Eejima, who also goes by Carol Fumi Watanabe, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1982. Carol had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2009 - December 31, 2022
ARETE WEALTH MANAGEMENT, LLC
March 23, 2009 - December 31, 2022
ARETE WEALTH ADVISORS, LLC
January 13, 2009 - March 19, 2009
PRIVATE WEALTH ADVISORS, INC.
July 31, 2006 - December 31, 2008
PRIVATE CONSULTING GROUP, INC.
July 31, 2006 - March 19, 2009
PRIVATE CONSULTING GROUP, INC.
January 30, 2003 - August 7, 2006
KESTRA INVESTMENT SERVICES, LLC
October 9, 1998 - August 7, 2006
KESTRA INVESTMENT SERVICES, LLC
June 19, 1995 - October 21, 1998
AMERICAN INVESTORS COMPANY
July 7, 1982 - June 16, 1995
VERAVEST INVESTMENTS, 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
Current 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.
